US Compliance Officer

Position Overview

The Compliance Officer will be involved in all aspects of the U.S. compliance program, including attending to regulatory filings, updating the firm’s compliance policies and procedures, conducting annual testing, reviewing marketing materials, training new hires, reviewing political contributions and personal trading requests, and distributing and reviewing quarterly and annual certifications. The Compliance Officer will work closely with the current legal and compliance team in Boston and London.

Responsibilities

The Compliance Officer will be responsible for achieving the following:

• Assist with various aspects of the firm’s U.S. compliance program, including obligations arising in connection with the firm’s registration as an investment adviser with the SEC under Rules 204A-1 and 206(4)-7 of the Investment Advisers Act of 1940
• Assist with preparation, drafting and filing of various regulatory filings, including Form ADV and Form PF
• Oversee employee personal trading, outside business activities, gifts and entertainment and political contributions tracking through the compliance systems
• Assist with the firm’s compliance testing program, including risk identification, monitoring, testing, control development, implementation and remediation, where necessary
• Assist with documentation of the firm’s compliance efforts and the manner in which the firm addresses specific compliance matters that may arise
• Partner closely with legal and investor relations teams to review external communications, including advertising materials, press releases and social media posts
• Assist with the firm’s anti-money laundering and anti-bribery programs and procedures
• Assist with government inquiries
• Assist with the development and oversight of the firm’s compliance program in foreign jurisdictions in which the firm has operations

Ideal Experience and Competencies

The successful candidate will have an exceptional track record and reputation. Given the significant responsibilities of this position, the successful candidate will be a mature, experienced individual. In addition, the successful candidate should have:

• 3+ years of experience in compliance matters, preferably in relation to registered investment adviser requirements of the SEC
• Bachelor’s degree required
• Although not required, experience in SEC examinations, compliance systems (ComplySci, etc.), mergers & acquisitions, securities law matters, fund formation and/or investor relations is very helpful