Regulatory Compliance Officer
Broomfield, US
What it's about
Partners Group’s Compliance business unit is responsible for ensuring that the firm complies with all applicable regulatory requirements and protecting the firm from regulatory and reputational risks. The Regulatory Compliance team Americas manages the compliance program for Partners Group's SEC Registered Investment Advisers, multiple SEC Registered Investment Companies, a Canadian affiliate and regulated activities in the Cayman Islands. The team's responsibilities include, among other things, oversight of 4 offices in the US, offices in Brazil and Canada, over 400 employees and all marketing and distribution activities in the western hemisphere. The Regulatory Compliance team Americas also assists in implementing Partners Group's overall global compliance framework.
Responsibilities
- Serve as key Regulatory Compliance resource for Partners Group private market business in the Americas, providing day-to-day compliance support and helping ensure alignment with applicable regulatory requirements and global policies.
- Support the SEC-registered investment adviser compliance program through oversight of the execution and continuous enhancement of policies, procedures, and controls under Rule 206(4)-7 of the Investment Advisers Act of 1940, as well as other applicable federal and state securities laws and regulations.
- Assist in the management of the regional compliance program including partnering with and supporting senior members of the Compliance team on key initiatives, ongoing monitoring, and remediation efforts.
- Assist in monitoring, interpreting, developing and implementing US Securities law requirements as they apply to the firm's business activities, products, and client relationships.
- Assist with the preparation, review, and submission of regulatory filings such as Form ADV, Form PF and other federal securities law filings.
- Identify and address regulatory risk areas through ongoing monitoring, targeted reviews, and recommendations for policy, process, and control enhancements.
- Research key considerations relevant to specific clients, products and jurisdictions in the Americas, including strategic initiatives to support business development efforts.
- 3-5 years of relevant work experience in registered funds, private markets and/or asset management
- Bachelor's Degree.
- Knowledge of the Investment Advisers Act of ‘40, Investment Company Act of ‘40, Securities Act of '33, and applicable US Securities Law is required.
- General understanding of private funds (structure and regulations) is required.
- Working knowledge of U.S. securities laws and regulations applicable to marketing and advertising, including the Investment Advisers Act of 1940, the SEC Marketing Rule, and FINRA advertising rules.
- FINRA Series 7 and Series 24 and Series 63 licenses preferred.
- Possess the necessary skillset to quickly learn new technologies and the analytical skills required to drivecritical issues to resolution within a global compliance team and collaboration with other internal stakeholders.
- Team player and collaborative approach is a must.
- Self-motivated, proactive, intellectually curious individual with strong desire to learn and succeed.
- Excellent analytical, interpersonal and project & task management skills to manage multiple projects at any one time.
Partners Group is a global financial institution that retains the culture, pace and agility of a start-up. As a growing firm, we are committed to attracting, developing and retaining the very best talent, by offering a workplace where results are truly recognized and rewarded.
Our offerings include:
- Professional, international, and high-performing work-environment
- Challenging, rewarding career within a growing company
- Collaborative environment, with on-the-job training and mentorship opportunities
- Competitive benefits and wellness package, including medical, dental and vision coverage
- 401k (Roth and pre-tax options) with company-match
- 25 vacation days, and 13 holidays annually
- One-month sabbatical after every five years of service
- Company paid life and disability insurance
- Education assistance program
- Lunch stipend
- Domestic and international events, including offsites and volunteer opportunities
- Partners Group compensation has a long-term outlook and philosophy, and our total compensation emphasizes performance based long term incentives. Base pay range for this role is $130,000 - $160,000 and a performance-based bonus are additional parts of the total compensation package.
Make an impact on the organization by taking a leading role in the growth of our US business. Our working environment is humble, inclusive and transparent; the structure of the firm is flat.
At Partners Group, we thrive on new ideas for the benefit of our clients, our employees and our communities. We are proud to be an equal opportunity employer and support diversity of perspectives.
www.partnersgroup.com
Please be aware, fraudsters may pose as Partners Group recruiters. All genuine representatives can be identified by a verified sign on their LinkedIn profiles. If you suspect fraud or have doubts, contact us immediately at hr@partnersgroup.com
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