Senior Compliance Officer

As a Senior Compliance Officer, you will assist in coordinating and creating consistency across the Americas region for centralized internal and external client reporting requests to meet compliance standards and requirements, Board reporting, trade surveillance, policy and procedure review, and other compliance department needs. The role requires knowledge of a variety of equity, fixed income, and derivative security types.

Requirements

• Bachelor's degree in finance, accounting, or a related field
• Minimum 3 years of experience in asset management or related financial services
• Knowledge of domestic and international securities laws (e.g., 1940 Act, etc.)
• Excellent communication and teamwork skills

Benefits

• Flexible paid time off
• Hybrid work schedule
• 401(K) matching of 100% up to the first 6% with a discretionary supplemental contribution
• Health & wellbeing benefits
• Parental Leave benefits
• Employee stock purchase plan