82 applicants

Company

Greenbacker · 1 day ago

Senior Compliance Officer

United States

Full-time

Remote

Senior Level, Lead/Staff

8+ years exp

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EnergyRenewable Energy

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Responsibilities

Oversee the compliance program for the firm's registered investment advisor, ensuring adherence to SEC regulations and industry best practices

Develop, implement, and maintain compliance policies, procedures, and controls across the organization

Conduct regular compliance reviews and audits to ensure the firm meets regulatory obligations

Review and approve marketing materials, ensuring compliance with regulatory requirements

Collaborate with internal teams to provide guidance on regulatory compliance matters, especially related to investment management activities

Lead internal investigations and audits, reporting findings and recommending corrective actions

Monitor regulatory developments and communicate changes in relevant laws, rules, and regulations to stakeholders

Prepare and submit required filings and reports to the SEC and other regulatory bodies as necessary

Provide training and education to employees on compliance policies and practices

Qualification

Find out how your skills align with this job's requirements. If anything seems off, you can easily click on the tags to select or unselect skills to reflect your actual expertise.

Investment management complianceSEC regulatory expertiseMarketing material reviewPolicy developmentRisk managementExperience in renewable energy

Required

Bachelor's degree in law, finance, business, or related field; advanced degree or relevant certification

8-10 years of experience in compliance, preferably within the asset management or investment advisory industry

Proven experience managing a compliance program for an SEC-registered investment advisor

In-depth knowledge of SEC regulations and experience working with marketing and advertising materials within the investment management sector

Strong leadership and communication skills, with the ability to collaborate cross-functionally and influence decision-making

Ability to work independently in a remote environment while maintaining strong attention to detail and organizational skills

Preferred

Experience with renewable energy or sustainable investment practices is a plus but not required

Benefits

Medical: 5 United Health Care Oxford options

Dental: Guardian - two options

Vision: Guardian / VSP - one option (100% employee paid)

Life and AD&D: Short term and long-term disability (both 100% employer paid)

Retirement/401(K): ADP/Voya with 50% match up to 6% of salary

Other: Medical and dependent care / Health Savings Accounts, Pre-tax commuter benefits through Optum

Time Off: 20 days paid time off, 7 sick days a year, 32 hours of VTO a year

Mental Health: Modern Health: 24/7 access to Coaching and Therapy sessions for employees and dependents

Family Building: Coverage for infertility, adoption, surrogacy, and 16 weeks of family leave

Company

Greenbacker

Greenbacker Renewable Energy Company is an independent power producer (IPP) and a leading climate-focused investment manager (IM), whose mission is to empower a sustainable world by connecting individuals and institutions with investments in clean energy.

Founded in 2010

New York, New York, USA

51-200 employees