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    Transaction Regulatory Compliance Officer

      Attach a CV (Accepted file types: pdf, doc, docx, rtf.)

      Transaction Regulatory Compliance Officer

      New York

      $115k to $145k (Negotiable) + bonus



      A leading global investment management firm is looking to hire a Transaction Regulatory Compliance Officer to join its New York offices.

      The role will focus on the compliance program for transactional regulatory filings including merger control filings. The successful candidate will support Firm-wide compliance operations and initiatives by managing policies, processes, books and records, controls, disclosure obligations, technology systems, and partnering with business leaders to identify and mitigate legal, regulatory, operational and reputational risks.

      Key Responsibilities

      • Providing real time advice to the firm’s global businesses and investment professionals on transactional regulatory filings, including the application of company policy and best practice guidelines in consultation with the broader Compliance and Legal teams
      • Establishing and/or enhancing internal compliance desktop procedures and policies to demonstrate infrastructure of controls, appropriate oversight and practical application
      • Monitoring compliance with transactional regulatory requirements for all aspects of investing business
      • Supporting various other aspects of the compliance program
      • Assisting in preparing responses to regulatory inquiries as necessary.
      • Coordinating with colleagues in Legal/Compliance and other control groups on initiatives including surveillance, risks assessments, testing and audits.
      • Maintenance of accurate records and details required to prepare management and other reporting.
      • Preparing and delivering relevant trainings to business partners


      Skills, Knowledge & Experience

      • Three to five years of experience in investment management compliance. At least one year of experience with transactional regulatory filings including merger control filings is preferred.
      • Familiar with and ready to make contributions to policy and procedure drafting, training business partners, regulatory filings and change management, and testing and risk assessments.
      • Undergraduate degree with strong academic credentials and a minimum of two years of relevant work experience in an investment management firm.
      • Subject matter expertise and/or substantial familiarity with relevant compliance topics.
      • A strong stakeholder-focused orientation with the drive and enthusiasm required to achieve results and assume stakeholder satisfaction.
      • Excellent interpersonal skills and the ability to build strong professional relationships at all levels, with both internal and external parties.
      • Maturity, presence, sound judgment, and ability to form and express opinions effectively to cross- divisional teams including senior management.
      • Proficiency in PowerPoint, Microsoft Word, Excel, and other data analytics tools.
      • Self-starter with strong presentation, verbal and written communication skills.
      • Ability to independently manage multiple projects in a collaborative manner with multiple stakeholders through to completion in a dynamic and changing environment.
      • Accountable, with a strong sense of professionalism and integrity.
      • Highly organized, efficient and able to work to tight deadlines in a high-pressure environment.

      Posted by

      Mark Foy

      Managing Director

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