- Ensure ongoing adoption, implementation and management of policies, procedures, and controls to comply with regulatory requirements, including the 1940 Act, Securities Exchange Act of 1934, Securities Act of 1933, Investment Advisers Act of 1940, and other applicable federal securities laws ("Federal Securities Laws");
- Manage regulatory filings, including ad hoc filings and regular periodic SEC filings, (such as Form 8-K and quarterly tender/repurchase offers);
- Coordinate corporate governance matters for the Regulated Funds, including preparing and reviewing materials for meetings of the boards of directors/trustees
- Manage the compliance review of new products, new instruments and financing arrangements, marketing materials and other similar matters;
- Work and coordinate with outside counsel and service providers, including transfer agents, fund accountants, and auditors, as well as with internal constituents (including in-house legal counsel); and
- Assist the firm's investment adviser compliance team as needed on matters that relate to the Regulated Funds and the firm as a whole.
- At least 10 years of regulatory compliance experience, with a focus on registered investment companies and/or business development companies, including deep knowledge of the 1940 Act and other Federal Securities Laws;
- Strong organizational skills and a keen attention to detail;
- Ability to understand complex issues and to provide clear and concise explanations in written and verbal communications;
- Ability to issue spot and work independently to develop solutions;
- The ideal candidate is entrepreneurial, team-oriented and able to work independently on daily items and execute longer-term projects, subject to the general oversight of the firm's Legal team.
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VP of Compliance - Hartford, United States - Atlantic Group
Description
Location:
Onsite - Fairfield County, CT
Compensation:
$200k-$250k base + bonus ($100k-$150k)
Responsibilities:
The Compliance Officer – Regulated Funds will drive the regulatory compliance function for all matters relating to the registered and regulated investment vehicles managed by the firm (including closed-end funds, interval funds and business development companies) ("Regulated Funds"), with a focus on the Investment Company Act of 1940 ("1940 Act").
For a successful candidate, this position is intended to grow into a Chief Compliance Officer – Regulated Funds role in the near term.
Key responsibilities include:
Qualifications :
The ideal candidate will have the following qualifications:
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