Role Summary/Purpose
The Company is looking for a dedicated compliance professional to join its legal and compliance team. The Senior Compliance Officer will report directly to Annaly's Deputy General Counsel and Chief Compliance Officer and will have exposure to the full gamut of compliance responsibilities with a focus on ACOM's compliance program and ensuring that ACOM's activities satisfy its legal and regulatory requirements.
Responsibilities
* Update and maintain ACOM's compliance manual. Monitor changes in industry requirements and adjust ACOM's compliance program as necessary.
* Conduct ACOM's periodic compliance testing and prepare ACOM's 206(4)-7 Annual Review.
* Prepare and submit ACOM's regulatory filings (including Form ADV and Form PF).
* Assist in administering Annaly's Code of Ethics to all employees.
* Monitor all employee level reporting including personal securities transactions, outside business activities, gifts & entertainment, and political contributions.
* Conduct new hire and annual compliance training for all employees.
* Oversee Annaly's restricted list and review any potential conflicts or violations.
* Update and maintain Annaly's compliance policies and procedures.
* Assist with the preparation of the Company's internal regulatory updates.
* Work closely with the Company's outside compliance consultants and legal counsel.
Qualifications
* Bachelor's degree from an accredited college or university. JD considered favorably but not required.
* 4-7 years of relevant compliance experience in the investment management industry, preferably with a registered investment adviser.
* Working knowledge of U.S. securities laws, particularly the Investment Advisers Act of 1940 and the Securities Exchange Act of 1934.
* Ability to multi-task, strong attention to detail, excellent organizational, problem-solving and follow-up skills are essential for this position.
* Excellent oral and written communication skills.
Desired Characteristics
* A "put me in coach" mentality when it comes to helping other groups and team members.
* Self-motivated and open to collaborating in a team setting across various offices.
* Results-driven mindset, and the ability to respond to rapidly changing circumstances and priorities.
Eligibility Requirements
* Must have unrestricted authorization to work in the United States.
* Must be willing to work in-office in New York, NY or Dallas -Fort-Worth Metropolitan area.
* Must be willing to submit to a background investigation.
* Must be willing to work additional hours as needed to complete deadline driven projects.
The salary range for this position at commencement of employment is expected to be between $250,000 and $310,000/year; however, base salary offered may vary depending on multiple individualized factors, including market location, job-related knowledge, skills, and experience. The total compensation package for this position may also include other elements, including a sign-on bonus, restricted stock units, and discretionary awards in addition to a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.
Annaly is committed to equal employment opportunity and providing reasonable accommodations to qualified candidates and employees pursuant to applicable law. We value and encourage diversity and solicit applications from all qualified applicants without regard to race, color, gender, sex, age, religion, creed, national origin, ancestry, citizenship, marital status, sexual orientation, physical or mental disability, medical condition, military and veteran status, gender identity or expression, genetic information, or any other characteristic protected by federal, state, or local law. If you require reasonable accommodation as part of the application process, please contact our Human Resources department.
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