Senior Compliance Officer, L&G - Asset Management, America

📋 Description

• Draft, review and maintain compliance policies and procedures and support the annual 206(4)-7
• Develop, perform and document risk-based compliance monitoring and forensic testing including
• Lead the continued build-out of the compliance program for the firm's private markets and real
• Assist with regulatory reporting and filings including Form ADV, Form PF, CPO-PR and CPO-PQR, CFTC
• Support SEC examinations and other regulatory inquiries, including coordinating document and
• Support oversight of the firm's Code of Ethics and personal trading program, including

🎯 Requirements

• A minimum of 5 years of asset management industry compliance experience required with an
• Knowledge of Investment Advisers Act of 1940, Investment Company Act, and CFTC/NFA rules and the
• Strong policy and procedure drafting skills.
• Experience with private credit, real estate, provide equity or other private-market strategies
• Excellent written and verbal communication skills.
• Strong judgment, attention to detail and ability to independently manage multiple priorities.

🎁 Benefits

• Health insurance with optional HSA
• Short term disability
• Long term disability
• Dental insurance
• Vision care
• Life insurance