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Stamford

    Compliance Officer/Regulatory Counsel- $12 Billion Stamford Alternative Asset Manager- Investment/Mutual Fund - Atlantic Group

    atlantic group background
    Accounting / Finance
    Description

    $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



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