Senior Compliance Officer

Summary

Join Greenbacker Capital, a leading investment management firm in renewable energy and sustainable infrastructure, as a Senior Compliance Officer. This primarily remote role, based within 100 miles of the NYC office, requires extensive experience in investment management compliance and SEC regulations. You will oversee the firm's compliance program, develop and implement policies, conduct reviews and audits, and ensure adherence to regulatory requirements. The position demands strong leadership, communication, and collaboration skills. Greenbacker offers a comprehensive benefits package including health insurance, retirement plan, paid time off, and family leave.

Requirements

• Bachelor’s degree in law, finance, business, or related field; advanced degree or relevant certification
• 8-10 years of experience in compliance, preferably within the asset management or investment advisory industry
• Proven experience managing a compliance program for an SEC-registered investment advisor
• In-depth knowledge of SEC regulations and experience working with marketing and advertising materials within the investment management sector
• Strong leadership and communication skills, with the ability to collaborate cross-functionally and influence decision-making
• Ability to work independently in a remote environment while maintaining strong attention to detail and organizational skills

Responsibilities

• Oversee the compliance program for the firm's registered investment advisor, ensuring adherence to SEC regulations and industry best practices
• Develop, implement, and maintain compliance policies, procedures, and controls across the organization
• Conduct regular compliance reviews and audits to ensure the firm meets regulatory obligations
• Review and approve marketing materials, ensuring compliance with regulatory requirements
• Collaborate with internal teams to provide guidance on regulatory compliance matters, especially related to investment management activities
• Lead internal investigations and audits, reporting findings and recommending corrective actions
• Monitor regulatory developments and communicate changes in relevant laws, rules, and regulations to stakeholders
• Prepare and submit required filings and reports to the SEC and other regulatory bodies as necessary
• Provide training and education to employees on compliance policies and practices

Preferred Qualifications

Experience with renewable energy or sustainable investment practices

Benefits

• Medical: 5 United Health Care Oxford options
• Dental: Guardian – two options
• Vision: Guardian / VSP – one option (100% employee paid)
• Life and AD&D: Short term and long-term disability (both 100% employer paid)
• Retirement/401(K) : ADP/Voya with 50% match up to 6% of salary
• Other: Medical and dependent care / Health Savings Accounts, Pre-tax commuter benefits through Optum
• Time Off: 20 days paid time off, 7 sick days a year, 32 hours of VTO a year
• Mental Health: Modern Health: 24/7 access to Coaching and Therapy sessions for employees and dependents
• Family Building: Coverage for infertility, adoption, surrogacy, and 16 weeks of family leave