Step into the role of Senior Manager, Code of Ethics Compliance with our client in New York, NY, overseeing compliance under the Investment Advisers Act. You’ll lead a small team managing Code of Ethics disclosures, personal trading, and supporting global compliance through advanced software.

Compensation: $155,000 – $200,000/year + bonus Location: New York, NY Schedule: Monday to Friday (Hybrid)

Responsibilities as the Senior Manager, Code of Ethics Compliance:

Compliance Oversight: Manage Code of Ethics disclosures and personal trading monitoring.
Leadership: Supervise a small team of analysts, ensuring effective administration of compliance functions.
Regulatory Expertise: Utilize strong knowledge of the Investment Advisers Act, specifically Rules 204A-1 and 206(4)-7.
Training: Develop compliance training programs and conduct compliance testing.
Global Collaboration: Work closely with employees across the firm’s global offices.
Technology Integration: Enhance the efficiency of compliance programs using software like StarCompliance.

Qualifications for the Senior Manager, Code of Ethics Compliance:

Education: Bachelor’s degree in Law, Finance, Business Administration, or a related field required (advanced degree preferred).
Experience: 7-12 years in Compliance, with expertise in Code of Ethics compliance from a bank, asset management, or private equity firm.
Leadership: Hands-on leader with experience managing a small team.
Technical Skills: Proficiency in StarCompliance and managing through SEC examinations.
Regulatory Knowledge: Strong understanding of U.S. compliance principles and the regulatory framework.
Communication: Excellent verbal, written, and interpersonal communication skills.

Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion. #40426

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