Pretium

Position / Title : Compliance Officer - Vice President/Director. This is a generalist position that will report to the Chief Compliance Officer and will work directly with a team of three Compliance Officers.. Act as point person for various legal and compliance matters and work directly with internal business units, outside counsel and service providers. Complete regulatory filings, including Form ADV, Form PF, lobbyist filings, AIFMD reporting and ad hoc investor reporting. Manage all aspects of the limited purpose FINRA member broker-dealer

compliance officer

Position / Title : Compliance Officer - Vice President/Director Pretium Pretium is a specialized alternative investment management firm focused on U.S. residential real estate, residential credit, and corporate credit with more than $50 billion of assets under management. Pretium was founded in 2012 to capitalize on secular investment and lending opportunities arising as a result of structural changes, disruptions, and inefficiencies within the economy. Pretium has built an integrated analytical and operational ecosystem within the U.S. housing, residential credit, and corporate and structured credit markets, and believes that its insight and experience within these markets give the Firm its strategic advantage. Position We are seeking an experienced legal and compliance professional to join our team and assist with all aspects of our legal and compliance program. This is a generalist position that will report to the Chief Compliance Officer and will work directly with a team of three Compliance Officers. This position is based in New York City and is subject to the firm's hybrid policy (in office 3 days per week). Key Responsibilities <ul> <li>Manage all aspects of the compliance program for the SEC-registered investment advisers, including the Code of Ethics, trade allocations, expense allocations, marketing regulations, annual review and restricted list </li> <li>Act as point person for various legal and compliance matters and work directly with internal business units, outside counsel and service providers </li> <li>Complete regulatory filings, including Form ADV, Form PF, lobbyist filings, AIFMD reporting and ad hoc investor reporting </li> <li>Manage all aspects of the limited purpose FINRA member broker-dealer </li> <li>Manage regulatory exams, mock exams and requests and serve as a point of contact for the SEC, FINRA and other regulatory authorities </li> <li>Assist with international (UK, Korea, Australia, Dubai) compliance matters </li> <li>Maintain and update policies and procedures based upon regulatory requirements, industry practices, and established internal controls </li> <li>Provide advice and training regarding applicable securities regulations and firm policies </li> </ul> Requirements <ul> <li>Undergraduate degree </li> <li>7-9 years in a registered investment adviser compliance role; in-house experience preferred </li> <li>Knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, and securities regulations </li> <li>Series 7 not required but a plus </li> <li>Ability to work in a fast-paced, deadline driven and team-oriented environment </li> </ul> What We Offer This position offers the opportunity to join a collegial, entrepreneurial firm committed to the personal and professional growth of its team members and to maintaining a positive, encouraging work environment where people enjoy working together. The company offers a comprehensive benefits and perks package, including: <ul> <li>401(k) plan with an employer match </li> <li>Employer-paid health, dental, vision and life insurance </li> <li>20 annual days of Paid Time Off (PTO) </li> <li>12 firm holidays </li> <li>Hybrid office/work from home arrangement (in office minimum of 3 days per week) </li> <li>Annual base salary range for this role is expected to be between $160,000 - $190,000 </li> <li>Annual year-end bonus eligible </li> </ul> Pretium is committed to creating a diverse environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment regardless of race, color, religion, gender, gender identity or expression, genetic information, marital status, sexual orientation, national origin, disability, age, veteran status, or any other characteristic protected by federal, state, or local law. Please see the firm's policy regarding how it collects and processes your personal information.#J-18808-Ljbffr

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