AVP of Compliance (Asset Management)

**Compliance Officer – Asset Management** Seeking an experienced Compliance Officer to support the administration and implementation of regulatory compliance programs for a leading asset management organization. **Key responsibilities:** * Conduct compliance testing, monitoring, and risk assessments * Review and enhance policies, procedures, and compliance manuals * Investigate and document compliance issues and regulatory matters * Support regulatory filings, examinations, audits, and board reporting * Conduct third\-party and intermediary due diligence * Assist with personal trading and employee communications reviews * Partner with business teams and senior leadership on regulatory requirements **Qualifications:** * Bachelor’s degree with 4–6 years of relevant compliance experience * Strong knowledge of the Investment Advisers Act and Investment Company Act * Familiarity with FINRA, CFTC, FCA, and related regulatory requirements * Series 7 and 24 preferred * Excellent communication, writing, organizational, and project management skills