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Compliance Officer/Regulatory Counsel - $12 Billion Stamford Alternative Asset Manager- Investment/Mutual Fund Compliance

$300,000- $425,000/ year
Posted May 13
Full Time
On Site
Stamford, Connecticut

$12 Billion Stamford Alternative Asset Manager Seeks a Compliance Officer/Regulatory Counsel

*Reporting to the CCO

*Oversee Investment Company/Mutual Fund Compliance

*Manage the Regulatory Compliance Function for the Registered Investment Vehicles including the Business Development Companies

*Investment Company Act of 1940

*Securities Exchange Act of 1934

*Securities Act of 1933

*Investment Advisers Act of 1940

*Implement and Manage Policies & Procedures to Comply with Regulatory Requirements

*Manage Regulatory & SEC Filings

*Prepare and Review Materials for Board of Directors/Trustees

*Compliance Marketing

Qualifications: *10-15 years of Strong Regulatory Compliance Experience; Strong knowledge of the 1940 Act and other Federal Securities Laws *Must have Alternative Asset Manager Experience, Experience with BDC's a Huge Plus *JD a Big Plus

Base Salary ~300k + Bonus ~$400K-$425k All In. Excellent Benefits & Culture & Opportunity for Growth at this $12 Billion Stamford Alternative Asset Manager