Location: Midtown Manhattan - Hybrid

Compensation: $120K-$150K base + bonus

Responsibilities:

Compliance:

• Manage process for employee personal trade reviews, employee certifications and employee gift/entertainment requests

• Track and manage compliance areas including proxy voting, NDA tracker, and assist with vendor due diligence process

• Assist with SEC and regulatory filings, including foreign ownership filings • Assist with compliance training and onboarding for new hires

• Approve, log and monitor expert network calls

Technology Implementation:

Process and Resource Planning: Utilize expertise in process and resource planning to observe, document, and map existing workflows and operational processes across global teams, identifying areas for optimization and efficiency improvements.

Technology Selection & Implementation: Guide the strategic selection of technology platforms by identifying optimal solutions through thorough analysis of business needs, regulatory requirements, and technological capabilities. Lead the design and orchestration of the implementation process, ensuring timely and efficient adoption of the chosen technology platforms.

Global Regulatory Technology Stack: Orchestrate the design and execution of a comprehensive global regulatory technology stack that adheres to core design principles and ensures seamless integration with existing operations. Ensure the platform meets regulatory requirements and enables the company to scale effectively across diverse regions.

Continuous Improvement: Collaborate with cross-functional teams to gather feedback, monitor platform performance, and recommend updates or enhancements to maintain alignment with business objectives and regulatory standards.

Qualifications:

• Bachelors degree
• Minimum of 2-5 years of experience in compliance within the investment advisory industry
• Strong technology skills.