VP- Alternative Investments Compliance Officer

Green Key Resources is seeking a Senior Compliance Officer for Alternative Investments in New York, NY. The role involves providing compliance guidance for products like Direct Real Estate and Private Credit, developing policies, ensuring regulatory compliance, and conducting risk assessments. Candidates should have 7+ years of investment advisory compliance experience and a relevant degree. Strong leadership and analytical skills are required.
The Senior Compliance Officer will support the Alternative business lines and provide guidance relating to products including Direct Real Estate, Infrastructure Debt and Private Credit.

Role Details

As a Senior Compliance Officer, you will:
• Provide guidance, advice and support to the Alternatives businesses
• Develop compliance policies and procedures to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, Investment Company Act of 1940 and Commodity Exchange Act.
• Maintain current expertise on the regulatory environment and industry practice; provide advice to the business on the implementation of new regulations.
• Ensure that any compliance issues or concerns are appropriately escalated, evaluated, investigated, and addressed in a timely manner.
• Review and approve new product offerings to ensure compliance with applicable policies and procedures and regulatory requirements, as well as, identify and log any conflicts of interests.
• Conduct the annual risk assessments of the business’s controls relating to compliance owned risk types.
• Monitor business owned controls and administer independent compliance controls to demonstrate compliance with firm policies and federal securities laws.
• Work closely with the senior management team in Compliance on various global and regional projects and initiatives including, but not limited to, implementation of regulatory requirements; annual compliance and ad hoc training sessions; and coordination of the annual risk assessments process.
• Lead department-wide initiatives to ensure that best practices are shared and implemented within Business Line Compliance globally and across the business lines.
• Support the business in developing appropriate controls and procedures to mitigate business and product specific risks.

Requirements:
• 7+ years of investment advisory compliance experience; expertise in Alternatives products including direct real estate, private credit and infrastructure products preferred.
• Minimum bachelor’s degree in business, finance or related field required; JD or other advanced degree preferred.
• Previous relevant legal or compliance experience with knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940 and other regulations applicable to investment management operations.
• Strong strategic, problem solving and analytical skills.
• Strong people skills, leadership qualities and communication skills.
• Ability to work on multiple projects in a fast-paced environment.
• Independent Self-Starter – the ability to organize workload and meet deadlines, work independently and as part of a team.