Job Description

We are currently partnered with the American arm of a top sovereign wealth fund that has committed to substantial US investment in the coming years. They are invested across multiple alternatives asset classes and are looking to further enhance their US operation by bringing on a Compliance & Governance Manager to join the organization in New York City.

The Compliance & Governance Manager will play a pivotal role in establishing and overseeing the foundation of the compliance program. This role requires an experienced compliance professional with a deep understanding of U.S. laws and regulations applicable to the financial services and alternatives investment sectors. The successful candidate will develop and maintain company policies, lead compliance testing and training efforts, and monitor regulatory changes to ensure the firm operates within the bounds of applicable laws and best practices. This role will report directly into the Head of Compliance.

Key Responsibilities

• Design, implement, and manage the firm’s compliance framework to ensure adherence to relevant U.S. laws and regulations.
• Draft, review, and maintain comprehensive company policies and procedures to address regulatory requirements and internal governance standards.
• Identify, track, and analyze changes in applicable U.S. laws and regulations to assess their impact on the firm’s operations and compliance obligations.
• Develop and execute compliance testing programs to monitor adherence to regulatory and internal policies, addressing any identified gaps or issues.
• Design and deliver compliance training programs to educate employees on key policies, regulations, and best practices.
• Maintain detailed and organized compliance documentation, including testing results, policy updates, and regulatory filings.
• Act as a trusted advisor to business units, providing guidance on regulatory compliance, governance practices, and risk mitigation strategies.
• Lead multiple projects and work streams simultaneously, ensuring timely and high-quality delivery of compliance initiatives.
• Mentor and manage junior team members, fostering a collaborative and growth-oriented team environment.

Key Qualifications

• At least 10 years of relevant work experience in compliance, governance, or risk management within the alternatives or broader financial services industry.
• In-depth understanding of U.S. laws and regulations, including those applicable to sovereign wealth funds, asset managers, and investment entities.
• Proven experience in leading teams, managing projects, and mentoring junior professionals.
• Strong analytical and problem-solving skills with the ability to interpret complex regulatory requirements and translate them into actionable policies.
• Exceptional verbal and written communication skills, with the ability to effectively engage with stakeholders at all levels of the organization.
• High level of accuracy and attention to detail, particularly in policy drafting and compliance documentation.
• Bachelor’s degree in Law, Finance, Business Administration, or a related field. Advanced degrees or certifications (e.g., JD, CPA, CAMS) are highly desirable.
• Strong interpersonal skills, with a track record of working effectively across cross-functional teams.

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