Compliance Officer
2 months ago
Job Summary:
Jacobson Garner is seeking a seasoned Compliance professional to join our team as a Vice President. This role is critical in ensuring adherence to regulatory requirements and supporting our firm's central and operational compliance activities.
Key Responsibilities:
- Regulatory Compliance: Serve as the primary contact for regulatory matters, including managing the regulatory framework and coordinating filings with relevant authorities.
- Compliance Oversight: Oversee central and operational compliance functions, ensuring all legal and regulatory obligations are met.
- Investment Program Support: Support external investment programs and operational due diligence processes, with a focus on Anti-Money Laundering (AML) compliance.
- Employee Guidance: Provide advice and guidance to employees on compliance-related queries and ensure smooth onboarding and offboarding processes.
- Compliance Training: Organize and present compliance induction training and advise senior management on compliance arrangements, policies, and procedures.
- Regulatory Monitoring: Monitor regulatory developments and enhance internal compliance policies and procedures as necessary.
- Administrative Tasks: Administer registration processes and produce management information for governance and board committees.
Requirements:
- Compliance Experience: Extensive experience in central and/or operational compliance, with strong regulatory knowledge related to relevant rules and regulations.
- Buy-Side Compliance: Previous experience in a buy-side compliance role is highly desirable.
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