We are global private markets specialists delivering tailored investment solutions, advisory services, and impactful, data driven insights to the world’s investors. Leveraging the power of our platform and our peerless intelligence across sectors, strategies, and geographies, we help identify the advantages and the answers our clients need to succeed.
Position Overview:
The Senior Compliance Manager will be part of a global Compliance team and support the overall compliance program for a number of U.S. registered investment advisers focused on the private markets. In addition to participating in the overall implementation of the firm’s compliance program, this individual will have primary responsibilities to track, review and implement the firm’s policies and procedures, ensuring they align with relevant global regulations.
Key Responsibilities:
- Regulatory Oversight: Monitor and interpret regulatory developments from global regulators, primarily the U.S. SEC, U.S. CFTC, U.S. FINRA, NFA, EU ESMA, UK FCA, Swiss FINMA, Singapore MAS and other relevant authorities
- Work with other members of the Compliance and Legal teams and relevant departments within the firm to translate these into actionable policies and procedures
- Policy and Procedures management: Maintain tracker for policies and procedures, oversee review and work with appropriate stakeholders to update policies and procedures as necessary
- Training: Develop and deliver training programs to ensure employees are educated on compliance obligations, including the Code of Ethics, insider trading, advertising rules, etc
- Risk Assessment: Participate in the regular risk assessments of business practices and compliance frameworks. Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans
- Testing: Participate in the testing of various aspects of the firm’s compliance program
- Advisory Role: Act as a subject matter expert for internal stakeholders, including portfolio managers, operations, and sales teams
Education and/or Work Experience Requirements:
- Bachelor’s degree required; JD, or relevant advanced degree beneficial
- 6+ years of regulatory compliance experience within financial services sector
- In-depth knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, and related regulations and exposure to relevant global financial services regulations (EU, UK, Switzerland, APAC)
- Strong understanding of the private markets and associated investment products (i.e. commingled funds, separately managed accounts, registered investment companies)
- Experience in analyzing new and amended regulations, and developing, amending and implementing policies and procedures
- Highly organized, detail-oriented, and able to manage multiple priorities and deadlines in a fast-paced environment
- High integrity and sound judgment with the ability to act independently as well as collaboratively within a team
- Excellent analytical and communication skills
- Experience with GIPS, ERISA, or ESG-related compliance issues
- Experience with compliance software platforms (e.g., ACA Compliance Alpha, StarCompliance, ComplySci)
Salary Range - $200,000 - $225,000
The salary range is an estimate of pay for this position. Actual pay may vary depending on job-related factors that can include location, education, skill, and experience. The salary range does not include any benefits or other forms of possible compensation that may be available to employees.
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At StepStone, we believe that our people are our most important asset and crucial to our success. We are an Equal Opportunity Employer that strives to create an environment that empowers our employees and allows them to be heard, regardless of title or tenure. Our organizational community features multiple Employment Resource Groups as well as mentorship programs to enhance the employee experience for all.
As an Equal Opportunity Employer, StepStone does not discriminate on the basis of race, creed, color, religion, sex, national origin, citizenship status, age, disability, marital status, sexual orientation, gender identity, gender expression, genetic information or any other characteristic protected by law.
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