Global Head of Compliance responsible for building and leading compliance functions at OpenFX. Overseeing regulatory compliance and financial crime prevention in a fast - growing fintech firm.
SF
Hybrid Advisor, Asset Management Compliance
Posted last month
About the role
- Compliance Advisor in Asset Management Compliance focusing on regulatory policies and private investments. Supporting compliance activities and interactions across investment teams and legal departments.
Responsibilities
- Compliance Advisor – Asset Management Compliance role supporting various regulatory policies, including Material Non-Public Information and Information Barriers.
- Focus on the private investments/alternatives program and support the Control Room Director.
- Support both private side and public side activity, with cross-firm interactions.
- Frequent interactions with investment professionals to understand investment activities and safeguards.
- Time sensitive reviews of information and guidance related to MNPI considerations.
- Documentation of processes and development of procedures to support MNPI program.
- Operate in areas such as eCommunications, access provisioning, and information barriers.
Requirements
- Bachelor's degree with 5+ years’ experience in a financial services environment preferred.
- Knowledge and understanding of alternative investment products, including private funds, hedge funds, private credit, real assets, structured products, and digital asset strategies a plus.
- Aptitude to independently research regulatory requirements related to alternative investments and apply them to current scenarios.
- Ability to develop and implement net-new processes and document procedures autonomously.
- Effective interpersonal and communication skills with the ability to work collaboratively across various levels within the organization.
- Exceptional organizational skills with a proven track record to multi-task with attention to detail.
- Sound decision-making ability, risk management skills, and the wherewithal to escalate timely when needed.
Benefits
- Health insurance
- 401(k) matching
- Flexible work arrangements
- Professional development opportunities
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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