Compliance Officer, Top Hedge Fund (New York) Compliance Officer, Top Hedge Fund (New York) …

Non-disclosed
in New York, NY
Permanent, Full time
Last application, 09 Apr 21
competitive
Non-disclosed
in New York, NY
Permanent, Full time
Last application, 09 Apr 21
competitive
Our client, a market-leading hedge fund, is looking for a compliance professional to join their team.

This role will partner with the Chief Compliance Officer and will be responsible for administering and running the compliance program while providing tailored compliance support to the different product lines. The role will suit a highly motivated, entrepreneurial professional with an appetite to learn and a desire to work in a fast paced international environment.

The ideal candidate will ideally have compliance experience working with private funds/credit hedge fund or at a regulator handling examinations and regulatory issues.  Knowledge of the Investment Advisers Act of 1940 is required with CFTC/FINRA/NFA compliance experience a plus.

Role overview:

  • Develop a detailed understanding of the firm’s business to manage compliance and federal securities laws and regulations (primarily SEC Investment Adviser regulation);
  • Provide advice related to compliance with the Investment Advisors Act of 1940, as well as related Securities and Exchange Commission Rules and Regulations;
  • Maintain, revise, implement and enforce compliance policies and procedures;
  • Assist in regulatory exams/audits/inquiries; updating Form ADV;
  • Perform annual compliance reviews;
  • Monitor regulatory changes in the investment management industry;
  • Interact with a trading department with respect to brokerage/trading policy adherence;
  • Review/revise investment advisory marketing materials;
  • Work with guideline monitoring compliance/trade compliance team

We are seeking a compliance professional who is seeking to take a step up in responsibility. You will need to possess a strong academic profile, excellent organizational & communication skills and the ability to work with moderate supervision.

Compensation is competitive and commensurate with industry experience.

Please apply with your resume for more information.

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