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Job Description Summary
Reporting to the Senior Compliance Manager - Head of Ethics, the Compliance Manager – Ethics is responsible for supporting the development, deployment and enforcement the Firm’s global compliance program, with particular emphasis on administration of the Firm’s policies and procedures related to the supervision of various employee-related activities, such as personal trading (i.e., Code of Ethics compliance), gifts and entertainment, outside business activities and political contributions.
Job Skills and Abilities
Deep knowledge of securities laws, rules and regulations applicable to registered investment advisers and private fund offerings, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, Regulation D
Strong understanding of the business and administrative services provided by investment advisers and compliance support for such services
Pro-active, energetic, self-assured professional with high personal integrity and ability to develop good interpersonal relationships with others
Excellent communication skills (both oral and written) and ability to effectively communicate technical regulatory requirements to others
Considerable personal experience presenting, interacting, and building effective relationships with professionals, including executive management, sometimes in difficult situations
Proven ability to manage multiple and often competing priorities, adept at problem solving, identifying creative solutions, driving to decisions, and deliver results consistently
Understands the necessity to adequately document all work; detail oriented.
Enthusiasm for the mission of the company and for its diverse and inclusive culture.
Responsibilities
Contribute to the development, deployment and enforcement of global Code of Ethics program
Support the employee activities monitoring and reporting (e.g., personal trading, gifts and entertainment, outside business activities, political contributions)
Proactively document and evaluate controls maintained by the Firm and execute on opportunities for enhancements
Contribute to the risk-based review objectives, scope and testing strategies to assess adequacy and effectiveness of compliance program policies and controls
Develop targeted training content and the delivery of training to employees, including support of automated training tools
Provide backup for employee activities monitoring and reporting
Oversee employee certification processes, including review of exceptions and violations
Oversee employees when there are infractions and document their resolution
Report infractions to Deputy Chief Compliance Officer and/or Chief Compliance Officer
Review rule proposals, amendments and regulatory developments and work with CCO and global Compliance Officers to interpret impact on business function and implement updated processes
Education
Bachelor’s degree, preferably with a concentration in law, business, finance or accounting
Work Experience
7-10 years of experience (compliance experience at an SEC-registered investment adviser; private equity experience preferred)