First Eagle Investments
Compliance Officer
First Eagle Investments, New York, New York, us, 10261
Who we are looking for:
First Eagle is seeking a Compliance Officer for the Legal and Compliance team. The successful candidate will be responsible for the below responsibilities and have the following qualifications for this role:
What you will do: Serve as the key Compliance adviser to the business on various investment-related items, such as best execution, trade allocation, cross trades, new issues and insider trading Provide timely, creative, clear, and thoughtful guidance to portfolio personnel and team members on compliance matters for existing products and new product launches Create and deliver compliance training to portfolio personnel when required Collaborate, develop and nurture professional relationships with team members and high-profile internal clients Assist the compliance team in monitoring and testing related to 206(4)-7 and 38a-1 Maintain and demonstrate a thorough understanding of the regulations applicable to investment-related activities and stay abreast of regulatory developments and industry best practices Conduct due diligence of third-party subadvisors, vendors and service providers Assist CCO with the trade oversight, liquidity and valuation committees Perform e-communication surveillance Assist on special projects and ad hoc assignments Assist with the portfolio compliance monitoring program including the review of product documentation as well as investment guideline warnings and alerts and any matters for escalation Review proposed press releases and RFP responses in connection with portfolio related activities The qualities you should have:
Undergraduate Degree, business or related field preferred; Advanced degree a plus Minimum 5 years of compliance experience with an asset management firm or regulatory experience Series 7 and 24 preferred Knowledge of the Investment Advisers Act of 1940, and Investment Company Act of 1940 Self-starter, ability to multi-task, and resourceful - someone who "makes it happen" Strong sense of personal accountability and a work ethic to do what it takes to get the job done Excellent judgment and ability to handle business matters in a fair and consistent manner A collegial and collaborative team player capable of partnering both internally and externally Strong relationship management skills, and the ability to communicate effectively
Base Salary range: $115,000 to $140,000. In addition, this role is eligible for an annual incentive bonus. Compensation may vary based upon, but not limited to - the individual's skills, experience, qualifications, and internal equity.
We value our people and offer a broad range of benefits. We provide generous paid time-off, medical/dental/vision healthcare plans, 401(k) retirement and profit-sharing plans, a flexible/hybrid work environment, "dress for the day" flexible work attire, and many more great benefits. For more information, please refer to our First Eagle Benefits website.
First Eagle Investments and their affiliates and subsidiaries, including First Eagle Alternative Credit and Napier Park Global Capital, is an Equal Opportunity Employer. Equal Employment Opportunity has been, and will continue to be, a fundamental principle at First Eagle, where employment is based upon personal capabilities and qualifications without regard to race, color, religious belief, including dress and grooming practices, sex, sexual orientation, gender identity, gender expression, age, national origin, marital status, citizenship, disability, veteran status, pregnancy, breastfeeding or medical conditions related to breastfeeding, status as a victim of domestic violence, sexual assault, or stalking, or any other basis protected by applicable federal, state or local law, genetic information or characteristics (or those of a family member), or any other protected characteristic as established by law.
First Eagle is seeking a Compliance Officer for the Legal and Compliance team. The successful candidate will be responsible for the below responsibilities and have the following qualifications for this role:
What you will do: Serve as the key Compliance adviser to the business on various investment-related items, such as best execution, trade allocation, cross trades, new issues and insider trading Provide timely, creative, clear, and thoughtful guidance to portfolio personnel and team members on compliance matters for existing products and new product launches Create and deliver compliance training to portfolio personnel when required Collaborate, develop and nurture professional relationships with team members and high-profile internal clients Assist the compliance team in monitoring and testing related to 206(4)-7 and 38a-1 Maintain and demonstrate a thorough understanding of the regulations applicable to investment-related activities and stay abreast of regulatory developments and industry best practices Conduct due diligence of third-party subadvisors, vendors and service providers Assist CCO with the trade oversight, liquidity and valuation committees Perform e-communication surveillance Assist on special projects and ad hoc assignments Assist with the portfolio compliance monitoring program including the review of product documentation as well as investment guideline warnings and alerts and any matters for escalation Review proposed press releases and RFP responses in connection with portfolio related activities The qualities you should have:
Undergraduate Degree, business or related field preferred; Advanced degree a plus Minimum 5 years of compliance experience with an asset management firm or regulatory experience Series 7 and 24 preferred Knowledge of the Investment Advisers Act of 1940, and Investment Company Act of 1940 Self-starter, ability to multi-task, and resourceful - someone who "makes it happen" Strong sense of personal accountability and a work ethic to do what it takes to get the job done Excellent judgment and ability to handle business matters in a fair and consistent manner A collegial and collaborative team player capable of partnering both internally and externally Strong relationship management skills, and the ability to communicate effectively
Base Salary range: $115,000 to $140,000. In addition, this role is eligible for an annual incentive bonus. Compensation may vary based upon, but not limited to - the individual's skills, experience, qualifications, and internal equity.
We value our people and offer a broad range of benefits. We provide generous paid time-off, medical/dental/vision healthcare plans, 401(k) retirement and profit-sharing plans, a flexible/hybrid work environment, "dress for the day" flexible work attire, and many more great benefits. For more information, please refer to our First Eagle Benefits website.
First Eagle Investments and their affiliates and subsidiaries, including First Eagle Alternative Credit and Napier Park Global Capital, is an Equal Opportunity Employer. Equal Employment Opportunity has been, and will continue to be, a fundamental principle at First Eagle, where employment is based upon personal capabilities and qualifications without regard to race, color, religious belief, including dress and grooming practices, sex, sexual orientation, gender identity, gender expression, age, national origin, marital status, citizenship, disability, veteran status, pregnancy, breastfeeding or medical conditions related to breastfeeding, status as a victim of domestic violence, sexual assault, or stalking, or any other basis protected by applicable federal, state or local law, genetic information or characteristics (or those of a family member), or any other protected characteristic as established by law.