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Tier-1 brand, metro location, and mid-level compliance role increase candidate competition.
Requires specific financial regulatory and AML/ABC experience, limiting cross-industry transferability.
Explicit 5-7 years requirement plus mandatory AML/ABC and regulatory experience makes screening strict.
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Support and execute key compliance functions including AML, anti-bribery & corruption, and Code of Ethics for private investment funds across multiple jurisdictions.
Assist with client onboarding, ongoing monitoring, sanctions screening, risk assessments, and investor reviews to ensure regulatory compliance.
Organize compliance training campaigns and partner cross-functionally to uphold compliance program standards and respond to ad hoc projects.
Bachelor's degree required.
5-7 years of compliance experience with a focus on AML, ABC, Code of Ethics, preferably in SEC-registered investment advisors, asset managers, or financial services.
Knowledge of regulatory frameworks such as Bank Secrecy Act, USA PATRIOT Act, SEC expectations for private funds, FATF and Cayman Islands/CIMA guidance.
Proficiency in Microsoft Outlook, Teams, Excel, PowerPoint; experience with sanctions screening tools preferred but not mandatory.
Experienced in financial crimes compliance within investment management or related regulated financial services environments.
Detail-oriented with strong organizational skills capable of managing competing priorities under time constraints.
Capable of building credibility and collaborating effectively across multiple internal teams to support compliance adherence.