Senior Investment Compliance Manager

Bessemer Trust is seeking an experienced Compliance Manager to join our Investment Compliance team. Reporting directly to the Director of Investment Management Compliance (and Chief Compliance Officer of our mutual funds and registered investment adviser), the Compliance Manager will assist in administering the 206(4)-7 and 38a-1 compliance programs and advising on other related investment management activities of Bessemer Trust.
Key Responsibilities:

• As a senior member of the Compliance team, assist in the management of the 206(4)-7 and 38a-1 Compliance Programs, including oversight of the Investment Compliance testing and monitoring program.
• Assist with the management and daily oversight of Compliance team members and commensurate with experience, be primarily responsible for the management of team members.
• Maintain and demonstrate a thorough understanding of the regulations applicable to investment-related activities and stay abreast of regulatory developments and industry best practices.
• Serve as key Compliance adviser to the business on various investment-related areas, such as code of ethics/insider trading, best execution, trade allocation, soft dollars and cross trading.
• Manage the portfolio compliance monitoring program. Manage the review of investment guideline warnings and alerts and any matters for escalation.
• Prepare certain board and oversight committee materials, including the production of mutual fund board materials, and other reporting as needed.
• Assist with due diligence of service providers, including sub-adviser, fund administrator, transfer agent, and distributor due diligence visits and questionnaires.
• Implement and enforce effective Compliance policies and procedures in accordance with applicable laws and regulations.
• Assist with Form ADV updates.
• Develop and deliver Compliance training.
• Perform other Investment Compliance related duties, as assigned.

Qualifications:

• Bachelor's degree required; other related degrees, certifications, experience and training, a plus
• 10 plus years in a Compliance role for a registered investment adviser and mutual fund complex, with private funds and Cayman Funds experience, preferred
• Effective understanding of SEC regulations, with a particular focus on the Investment Company Act of 1940 and Investment Advisers Act of 1940
• Proficiency in Bloomberg, Longview and MyComplianceOffice is a plus
• Excellent analytical, written and oral communication skills
• Prudent and practical judgment and high level of integrity
• Excellent organizational and project management skills
• Some management experience, or a desire to obtain management experience

The base salary range for this position is $180K - $270K. Actual salaries will vary and will be based on various factors, such as skills, experience, and qualification for the role. It is not typical for offers to be made at or near the top of the range.
In addition, this position may be eligible for a discretionary incentive-based bonus based on individual and company performance.
Eligible employees may participate in a 401 (K) program with a company profit sharing contribution, medical, dental, vision, life insurance and disability covering and paid holidays, vacation, and sick days.