Job summary
Job post source
This job is from a recruiting firm hiring for a separate company, as indicated by the phrase 'Our client' referring to the hiring company rather than Fernridge Group itself.
Job overview
The Compliance Officer role at a global institutional asset manager involves broad compliance responsibilities across the firm, reporting to the Chief Compliance Officer and supporting regulatory adherence across multiple jurisdictions and business lines.
Responsibilities and impact
The Compliance Officer will advise staff on compliance matters, support regulatory obligations for broker-dealer and investment adviser functions, review marketing materials and policies, conduct compliance testing, manage regulatory filings, oversee AML/KYC processes, and stay updated on regulations.
Experience and skills
Candidates need 7+ years of compliance experience at a SEC-registered investment adviser, familiarity with marketing reviews, regulatory filings, compliance testing, and preferably knowledge of global regulations like FCA and MAS, along with strong communication and organizational skills.
Work environment and culture
The role is within a dynamic and entrepreneurial environment at a growing firm with global expansion efforts.
Company information
The company is a global institutional asset manager managing over $3 billion in assets under management, with operations spanning the US, UK, and Singapore.
Team overview
The Compliance Officer will join a lean compliance team of three, reporting directly to the Chief Compliance Officer.
Job location and travel
The position is based in Jacksonville, FL, with responsibilities involving multiple global jurisdictions.
Unique job features
The role offers broad exposure across front, middle, and back office operations and involves working across multiple business lines and global regulatory frameworks.
Company overview
Fernridge Group is a leading market research and consulting firm specializing in providing data-driven insights and strategic advice to businesses across various industries. They generate revenue through customized research solutions, subscription-based market reports, and consulting services aimed at helping clients make informed decisions. Founded in the early 2000s, Fernridge Group has built a reputation for delivering high-quality, actionable intelligence, leveraging advanced analytics and a team of experienced professionals to support their clients' growth and competitive advantage.
How to land this job
Tailor your resume to emphasize your 7+ years of compliance experience, particularly with SEC-registered investment advisers and broker-dealer environments, highlighting your expertise in regulatory filings, marketing reviews, and compliance testing.
Showcase your ability to advise across multiple business lines and jurisdictions, including familiarity with global regulatory frameworks such as FCA and MAS, to demonstrate your readiness for a broad, generalist compliance role.
Apply through multiple channels including Fernridge Group’s corporate career site and LinkedIn to maximize your application’s visibility and ensure it reaches the right hiring managers and recruiters.
Connect on LinkedIn with current compliance team members or professionals in Fernridge Group’s compliance division; initiate conversations by referencing the firm’s growth in the US and abroad or asking about their experience managing compliance across multiple jurisdictions.
Optimize your resume for ATS by integrating keywords from the job description such as 'Investment Advisers Act of 1940,' 'broker-dealer compliance,' 'regulatory filings,' 'AML/KYC,' and 'Code of Ethics administration' to pass initial automated screenings.
Use Jennie Johnson’s Power Apply feature to automate tailoring your resume, applying through multiple job portals, and identifying LinkedIn connections to network with, saving you valuable time and increasing your chances of landing the Compliance Officer role at Fernridge Group.
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