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Kimble Group
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Senior Compliance Officer

northbound executive searchWhite Plains, NYSenior L5
Compliance OfficersCompliance ManagersSecurities, Commodities, and Financial Services Sales Agents
Portfolio Management and Investment AdviceInvestment Banking and Securities IntermediationMiscellaneous Financial Investment Activities
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Senior Compliance Officer We are seeking a compliance officer to join our growing team. This position is starting on a temporary basis with the possibility of converting permanent. This role is onsite in midtown Manhattan 5days per week.
Essential Job Functions:
  • Support the day-to-day operations of an SEC-registered investment adviser managing a diverse platform across both public market strategies (e.g., equities, fixed income) and private market strategies (e.g. venture capital)
  • Support the implementation and ongoing maintenance of the firm’s compliance program in accordance with SEC regulations
  • Support the preparation and filing of regulatory documents (e.g., Form ADV, Form PF, 13F, Form D)
  • Assist in the reviewing and testing of compliance policies and procedures, certifications, and questionnaire responses in line with regulatory changes and industry developments
  • Monitor and oversee personal trading surveillance and electronic communications reviews to ensure adherence to the firm’s Code of Ethics requirements
  • Review and provide feedback on RFPs, DDQs, marketing materials, and client communications to ensure compliance with regulatory requirements and firm policies
  • Coordinate AML/KYC verifications for clients, counterparties, and other relevant parties across multiple jurisdictions
  • Provide support in connection with regulatory examinations and internal/external audits
  • Perform compliance-related duties and special projects as assigned
  • Deliver regular compliance training across the firm, conduct onboarding compliance procedures for all new employees
  • Work closely with the Chief Compliance Officer, senior management, and functional heads to ensure that regulations and firm policies are well understood across the organization and incorporated into workflow
  • Help to limit the firm’s regulatory and reputation risk, reinforce the firm’s culture of compliance
Education and Experience:
  • Bachelor’s degree required; JD is a plus but not required for this role 8-10+ years of relevant compliance experience
  • Strong understanding of the investment adviser/investment management industry and U.S. regulatory frameworks
  • Proficiency in compliance surveillance tools and systems (e.g., Bloomberg, ComplySci)
Knowledge, Skills and Abilities:
  • Excellent written and verbal communication skills
  • Detail-oriented with strong follow-up skills
  • Strong organizational, problem-solving, and analytical abilities
  • Ability to work independently on assigned responsibilities, as well as with staff members at all levels
  • Proficiency in Microsoft Suite (e.g., Excel, Word, PowerPoint)

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Level

Senior L5

Location

White Plains, NY

Occupation

Compliance Officers

Industry

Portfolio Management and Investment Advice

Posted

yesterday

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