Cardea Group · 2 weeks ago
Senior Compliance Officer
NYC Metro Area
Full-time
Onsite
Mid, Senior Level
$200K/yr - $250K/yr
4+ years expCardea Group is a leading investment firm seeking a Senior Compliance Officer to join its New York office. This role involves reporting directly to the Chief Compliance Officer and offers significant influence across the compliance program while mentoring a junior team member.
Asset ManagementConstructionFinancial ServicesProfessional Services
Responsibilities
Perform compliance testing across the firm’s program, including development of compliance and operational risk matrices
Research and interpret securities laws to update compliance manuals, policies, and procedures
Assist with trade surveillance, review of marketing materials, and preparation of board materials
Partner with the team to prepare and support regulatory filings
Oversee new employee compliance training and manage communications with third-party service providers
Organize and maintain credit legal documentation, including IMAs, JVs, LPAs, and related agreements
Train and mentor a junior compliance analyst in coordination with the CCO
Represent the Compliance department in interactions with business partners and internal stakeholders
Qualification
Required
4 to 8 years of relevant regulatory compliance experience within financial services, ideally with exposure to a credit platform
Hands-on experience with compliance testing and regulatory filings
Strong ability to work independently while collaborating effectively within a team environment
Comfortable operating in a fast-paced setting with shifting priorities, strong attention to detail, and excellent organizational skills
Experience drafting and maintaining policies and procedures is highly valuable
Preferred
Experience with the Investment Company Act of 1940 is preferred, though the platform includes private and public vehicles as well as SMAs
JD is preferred for writing and policy development strengths, though exceptional non-JD candidates will be considered
Benefits
Competitive bonus
Company
Cardea Group
Cardea Group is an Asset Management company.
2-10 employees
Funding
Current Stage
Early StageRecent News
2022-07-30
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