Compliance Officer

Posted Date 22 Apr 2024



Experience Icon Experience 6 Years Salary Salary 150000USD - 200000USD
Job Type Icon Job Type Full Time Company Company ATLAS SP
Job Category Icon Job Category Law Qualification Icon Qualification BS Law
Gender IconGender Both Date Last Date 21 Jul
Vacancies IconVacancies 1 Remote IconRemote No
Location Location(s) New York , United States

Description Job Description


ATLAS SP⠀Partners⠀is a⠀global⠀investment⠀firm that⠀seeks to⠀provide⠀stable⠀funding⠀and⠀capital⠀markets⠀services⠀to⠀companies⠀seeking⠀innovative⠀and⠀bespoke⠀structured⠀credit and⠀asset-backed⠀finance⠀solutions.⠀ATLAS SP's⠀tenured⠀experts⠀work with⠀clients to⠀determine⠀the best⠀approach⠀to⠀optimize⠀their⠀capital⠀and⠀achieve⠀their⠀goals,⠀across a⠀broad⠀range of⠀capabilities.⠀Our⠀integrated⠀platform⠀encompasses⠀a holistic⠀suite of⠀capabilities,⠀including⠀asset/portfolio⠀advisory⠀solutions,⠀warehouse/acquisition⠀financing⠀solutions,⠀whole loan⠀purchase/sale⠀and⠀securitization/distribution.

Our⠀Culture

Atlas⠀SP is "one⠀team"⠀where⠀everyone⠀makes an⠀impact –⠀we grow⠀together,⠀win⠀together,⠀and⠀embrace⠀change⠀together.⠀From⠀advancing⠀the⠀markets to⠀supporting⠀our⠀communities,⠀everything⠀we do⠀serves to⠀make a⠀difference.⠀Our people⠀are⠀industry⠀leaders⠀with a⠀passion⠀for client⠀service,⠀complex⠀problem⠀solving,⠀and⠀innovation.⠀We provide⠀our talent⠀with the⠀pathways⠀to grow⠀professionally⠀and⠀personally⠀in a⠀collaborative⠀and⠀inclusive⠀environment.⠀We're⠀proud to⠀build upon⠀a legacy⠀of⠀excellence⠀anchored⠀in deep⠀expertise⠀and client⠀service⠀across the⠀asset⠀management⠀landscape.

Position⠀Overview

ATLAS⠀SP is⠀searching⠀for a⠀Compliance⠀Officer to⠀lead in⠀implementing⠀and⠀delivering⠀the Firm's⠀Compliance⠀program.⠀ATLAS SP⠀Compliance⠀is an⠀independent⠀control⠀function,⠀part of⠀the firm's⠀second⠀line of⠀defense,⠀which⠀assesses⠀the firm's⠀compliance,⠀regulatory⠀and⠀reputational⠀risk;⠀monitors⠀for⠀compliance⠀with new⠀or amended⠀laws,⠀rules and⠀regulations;⠀designs⠀and⠀implements⠀controls,⠀policies,⠀procedures⠀and⠀training;⠀conducts⠀independent⠀testing;⠀investigates,⠀surveils⠀and⠀monitors⠀for⠀compliance⠀risks and⠀breaches;⠀and leads⠀the firm's⠀responses⠀to⠀regulatory⠀examinations,⠀audits and⠀inquiries.

Primary Responsibilities

  • Help⠀Compliance⠀to⠀identify⠀key risks⠀in⠀assessing⠀new⠀business⠀activities,⠀remediation⠀efforts⠀and⠀assessing⠀functionality⠀and⠀limitations⠀of firm⠀systems
  • Working⠀with⠀Compliance⠀and Legal⠀to support⠀ongoing⠀investigation⠀or⠀regulatory⠀exam⠀matters
  • Creating⠀and⠀implementing⠀standards⠀for⠀project⠀management⠀design⠀principles⠀for⠀remediation⠀plans and⠀commitments,⠀change⠀management⠀and⠀escalation⠀protocols
  • Work⠀closely⠀with the⠀business⠀and other⠀support⠀functions,⠀e.g.,⠀Legal,⠀Risk,⠀Finance,⠀and⠀Technology
  • Be⠀able to⠀meet tight⠀deadlines⠀and⠀comfortably⠀operate in⠀the face⠀of time⠀constraints

Qualification and Experience

  • Bachelor's⠀degree/University⠀degree
  • At⠀least 6-8+⠀years of⠀work⠀experience⠀as a⠀Compliance⠀Officer,⠀or other⠀related⠀role⠀focused on⠀Risk⠀Management⠀or⠀Controls
  • Experience⠀reading⠀and⠀interpreting⠀applicable⠀law and⠀regulation,⠀including,⠀in⠀particular⠀the⠀Investment⠀Advisers⠀Act of⠀1940, as⠀amended⠀and⠀related⠀SEC⠀rules
  • Experience⠀with⠀securitized⠀products⠀preferred,⠀but not⠀required
  • Experience⠀interacting⠀with⠀regulators,⠀or⠀supporting⠀regulatory⠀audits or⠀inquiries
  • Clear,⠀concise⠀communications⠀skills;⠀able to⠀communicate⠀with⠀impact at⠀senior⠀levels
  • Able⠀and⠀willing to⠀challenge;⠀comfortable⠀with⠀inter-personal⠀conflict;⠀able to⠀build⠀strong⠀professional⠀rapport⠀with⠀stakeholders⠀while⠀maintaining⠀independence⠀as a risk⠀manager
  • Work⠀independently
  • Exercise⠀sound⠀judgment,⠀ethics and⠀integrity
  • Fast⠀learner;⠀able to⠀adapt to⠀business⠀and⠀regulatory⠀changes;⠀interest⠀to⠀challenge⠀status quo⠀and find⠀new⠀solutions
  • Team-oriented⠀and⠀supportive⠀of others'⠀success;⠀comfortable⠀representing⠀a teamwork⠀product to⠀stakeholders
  • Strong⠀proficiency⠀in⠀Microsoft⠀Office

Salary Range

$150,000-$200,000

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