Fund Compliance Specialist

  • 60-70k DOE
  • Irvine, CA, USA
  • Permanent, Full time
  • 18 Nov 17 2017-11-18

The Compliance Specialist is an integral member of the IO Department and Fund Compliance team. The team is responsible for overseeing and ensuring implementation of all aspects of fund compliance, manager transition and client on boarding, service provider relationship management and all fund regulatory obligations. The Specialist will be responsible for addressing compliance matters related to both hedge funds and fund of funds products. The Specialist will also work with internal and external professionals including service providers, counterparties and Subadvisors to ensure that compliance responsibilities are being met.

Primary job duties include but are not limited to:

-Monitor and ensure compliance with regulatory requirements at the structure and fund level, including but not limited to:

  • Compliance with the Securities and Exchange Commission, Commodity Futures Trading Commission, the Department of  Labor, U.S. Department of the Treasury and the Cayman Islands Monetary Authority
  • Security and country specific structural and regulatory compliance

-Work with multiple internal and external parties to assist in completing regulatory filings in a timely and accurate manner. Includes but not limited to ISDA Protocol Management, Form D Renewals, FATCA and CRS Reporting and other CFTC and SEC filings.

-Manage quarterly compliance questionnaire completion with Subadvisors and coordinate resolution of issues with the Fund Compliance Manager.

-Assist with the Client and Manager on-boarding process.

-Responsible for various internal compliance monitoring responsibilities:

  • Updating and ensuring the accuracy of key contract terms in client relationship management system (“CRM”).
  • Reviewing and ensuring that client guideline restrictions are implemented accurately and monitored appropriately on a monthly basis.
  • Facilitating and tracking position level access with service providers across the firm.

-Stay current on the constantly changing regulatory environment.  Recommend and implement new procedures and updates to existing procedures as needed in response to these changes.


Job Requirements:

Seeking a detail oriented self-starter with exceptional communication and organization skills. The ideal candidate will possess at least two years of hedge fund operations or compliance experience. Knowledge and understanding of the Advisors Act of 1940 and common hedge fund trading matters and regulations is preferred but not required. Also desirable is a Chartered Alternative Investment Analyst designation or similar designation and/or accounting experience. The candidate must be a critical thinker, motivated to work in a dynamic team-oriented environment and have a passion for learning. He/she must also demonstrate strong analytical skills and the ability to successfully manage multiple projects with shifting and/or growing job responsibilities.