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26North · 3 weeks ago

Senior Associate - Vice President, Compliance

New York, NY

Full-time

Onsite

Mid, Senior Level

$150K/yr - $185K/yr

5+ years exp

26North is a next-generation, integrated, multi-asset class investment platform providing investment advice and opportunities. The Senior Associate or Vice President Compliance will support all aspects of the compliance program, including developing and maintaining compliance policies, conducting training, and managing compliance software and systems.

Asset ManagementCreditInsurance

Hiring Manager

Josh Morales

Responsibilities

Maintain the investment adviser compliance program, including drafting and updating policies and procedures, training employees and assisting in compliance testing, and preparation for and responding to regulatory examinations

Provide compliance advice to investment teams and employees on 26North’s compliance policies and procedures

Assisting in the preparation of regulatory filings (Form ADV, Form PF, 13F, 13H, lobbyist registration, etc.)

Assist with oversight of 26North’s Code of Ethics, including review and approval of requests relating to personal trading, outside business activities, private investments, gifts and entertainment, and political contributions

Assisting with preparing quarterly and annual compliance reporting materials

Assist with the drafting and preparation of the 206(4)-7 annual review report

Monitor and advise on conflicts of interest

Assist with reviewing and approving marketing materials and responding to investor due diligence questionnaires

Assist with compliance testing around code of ethics, investment allocations, expenses, valuation, investment guidelines, etc

Assist with monitoring and approval of expert networks and expert network calls

Prepare compliance training materials and conduct new hire/ad-hoc compliance training

Qualification

Compliance experienceInvestment Advisers Act knowledgeInvestment Company Act knowledgePrivate Equity experienceCredit experienceInsurance experienceMicrosoft Office proficiencyOrganizational skillsTime managementWritten communicationVerbal communicationCollaboration skills