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Compliance Professional

New York

Corporate Group

Ref#: 2013

Date published: 9-Nov-2016

Fortress seeks an experienced Compliance Professional to join its Legal and Compliance Department.  Fortress is a leading, publicly-traded, SEC-registered investment adviser (operating in multiple jurisdictions domestically and internationally) with more than $70 billion in assets under management.  The position is based in Manhattan. 

The successful candidate will work with other members of the Legal and Compliance Department, alongside business professionals around the firm on, among other things,
the following major items:

  • General administration of Fortress’s global compliance program in all respects;
  • Preparing, reviewing and/or filing regulatory filings in various jurisdictions;
  • Conducting employee personal trading surveillance;
  • Reviewing employee communications, expense reports, client records and other firm data to ensure adherence with Fortress’s Code of Ethics;
  • Conducting annual compliance reviews on a variety of topics pursuant to SEC Rule 206(4)-7;
  • Supporting our affiliated broker-dealer entity by completing required FINRA reviews and other filings; 
  • Assisting with the administration of Fortress’s anti-money laundering, KYC and sanctions program;
  • Providing assistance in complying with domestic and international regulatory regimes
  • Reviewing compliance forms (quarterly/annual personal trading reports, initial holdings, conflicts questionnaires, political contributions reports, ADV disclosures, etc.) for new hires and current employees;
  • Conducting many additional ad hoc compliance assignments.

The ideal candidate will have:
  • A bachelor’s degree;
  • At least 3-5 years of compliance or industry related work experience;
  • Superior work ethic, attention to detail, organizational and communication skills, a strong initiative to learn and grow, and good interpersonal skills.
  • A proven ability to multi-task, problem-solve, think critically, and work both independently and as a team player in a fast-paced, demanding environment
  • Proficiency in Excel required and knowledge of Bloomberg a plus.

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Fortress Investment Group LLC collectively with its subsidiaries and operating affiliates is an equal opportunity employer and considers all applicants for employment without regard to race, religion, creed, color, sex, age, national origin, citizenship status, disability, genetic information, protected veteran status, marital status, sexual orientation, gender identity, or any other status protected by federal, state or local law.