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About the Role

The Compliance Officer will help identify and implement policies and workflows to monitor regulatory compliance within the Bureau of Asset Management and with external managers and consultants, ensuring investments comply with all relevant laws, guidelines, and decisions.

Responsibilities

• Perform comprehensive compliance-related operational due diligence and disclosure form review on all private market manager recommendations.
• Serve as the compliance advisor to public equity and public fixed income search evaluation committees, providing guidance on bidding firms’ compliance programs.
• Assist in performing a compliance review of written materials such as investment memos, presentations, and quarterly reporting for the Systems’ Trustees and other external parties.
• Maintain the Bureau’s Business Continuity and Disaster Recovery Plan and develop training and reporting on its status to senior leadership.
• Automate internal Compliance processes including public market investment guideline monitoring, compliance training, quarterly trustee reporting, and the annual ethics & compliance questionnaire for 300+ investment managers and consultants.
• Assist in executing the Agency’s Personal Trading Policy, including setting up electronic data feeds for multiple brokers, new employee onboarding, and employee departure processes.
• Research and provide reporting on changes in regulatory rules and practices affecting investment firms managing assets for the NYC retirement systems.
• Conduct ad hoc projects as required.

Requirements

• A Master’s degree from an accredited college, with major studies in finance, economics, compliance, or a related field, and three (3) or more years of progressively responsible full-time professional experience in a financial services compliance role and/or carrying out compliance functions for a SEC registered investment adviser, broker/dealer, consulting firm or a related area.
• BS/BA degree from an accredited college with major studies in finance, economics, compliance, or a closely related field and five (5) or more years of progressively responsible compliance experience.
• A satisfactory equivalent of education and experience.

Skills

• Finance
• Economics
• Compliance
• Business
• Financial services compliance
• SEC registered investment adviser
• Broker/dealer
• Consulting firm

Location

• New York City

Work Type

• Full-time

Experience Level

• 3+ years
• 5+ years

Education Level

• Master's degree
• BS/BA degree

Salary/Compensations

• USD 146000 - USD 156000
• $150,000+

About the Company

• The New York City Comptroller’s Office promotes the financial health, integrity, and effectiveness of New York City government.
• The Bureau of Asset Management is responsible for oversight of the investment portfolios of the five New York City pension systems.
• The Bureau of Asset Management aims to achieve exceptional investment outcomes, deliver outstanding support to plan Trustees, and serve as a responsible steward of resources.

Equal Opportunity

• The City of New York is an inclusive equal opportunity employer committed to recruiting and retaining a diverse workforce and providing a work environment that is free from discrimination and harassment based upon any legally protected status or protected characteristic, including but not limited to an individual's sex, race, color, ethnicity, national origin, age, religion, disability, sexual orientation, veteran status, gender identity, or pregnancy.