$12 Billion Stamford Alternative Asset Manager Seeks a Compliance Officer/Regulatory Counsel
*Reporting to the CCO
*Oversee Investment Company/Mutual Fund Compliance
*Manage the Regulatory Compliance Function for the Registered Investment Vehicles including the Business Development Companies
*Investment Company Act of 1940
*Securities Exchange Act of 1934
*Securities Act of 1933
*Investment Advisers Act of 1940
*Implement and Manage Policies & Procedures to Comply with Regulatory Requirements
*Manage Regulatory & SEC Filings
*Prepare and Review Materials for Board of Directors/Trustees
*Compliance Marketing
Qualifications:
*10-15 years of Strong Regulatory Compliance Experience; Strong knowledge of the 1940 Act and other Federal Securities Laws
*Must have Alternative Asset Manager Experience, Experience with BDC's a Huge Plus
*JD a Big Plus
Base Salary ~300k + Bonus ~$400K-$425k All In. Excellent Benefits & Culture & Opportunity for Growth at this $12 Billion Stamford Alternative Asset Manager