Associate Director - Arrow Search Partners : Job Details

Our client is an asset management firm focusing on credit strategies with over $40 billion in AUM. We are seeking a Compliance Specialist to join our team.

• Coordinate across the firm on fund and managed account compliance and regulatory matters including SEC and CFTC registrations, ERISA, and federal, state, and international securities laws.
• Review marketing materials, due diligence responses, investor communications, and other fundraising and reporting materials across various investment strategies.
• Coordinate and prepare U.S. and foreign regulatory reports and filings.
• Assist with forensic testing for annual compliance review.
• Assist with the compliance monitoring program, including testing of investment guidelines and employee compliance requirements.
• Support selected firm-wide legal and compliance initiatives.

• Bachelor's degree required.
• 3-7 years of experience in a compliance role.
• J.D. required.
• Understanding of federal securities law and regulations strongly preferred.
• Experience with private fund marketing or distribution compliance a plus.
• Experience using compliance software/programs that support monitoring, reporting, and risk assessment activities.
• Ability to interpret legal and business terms and grasp concepts quickly.

$150,000 - $200,000

• Seniority level: Mid-Senior level
• Employment type: Full-time
• Job function: Business Development and Sales
• Industry: Staffing and Recruiting