The team is responsible for designing, implementing, and operating a compliance program aligned with the Investment Advisers Act of 1940, with a strong emphasis on exam readiness, risk identification, and practical supervision
Job Summary
The team is responsible for designing, implementing, and operating a compliance program aligned with the Investment Advisers Act of 1940, with a strong emphasis on exam readiness, risk identification, and practical supervision.
This role partners closely with senior leaders across Legal, Risk, Operations, and the Investments business unit to help ensure the firm maintains a robust compliance framework aligned with SEC rules, firm policies, and regulatory expectations.
The ideal candidate is hands-on, detail-oriented, and able to translate regulatory requirements into practical procedures, testing, training, and documentation.
Matching Summary
The team is responsible for designing, implementing, and operating a compliance program aligned with the Investment Advisers Act of 1940, with a strong emphasis on exam readiness, risk identification, and practical supervision.
Salary
Base: 90,700.00 - 153,925.00 annually; Bonus/Equity: Not specified; Benefits: Not specified