Compliance Officer - Hedge Fund - New York Compliance Officer - Hedge Fund - New York …

Non-disclosed
in New York, NY
Permanent, Full time
Last application, 26 Nov 20
competitive
Non-disclosed
in New York, NY
Permanent, Full time
Last application, 26 Nov 20
competitive
Our client, a market-leading hedge fund, is looking for a compliance professional to join their team.

This newly created role will partner with the Chief Compliance Officer (CCO) & General Counsel (GC) 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 must have experience in the private/hedge fund compliance field and/or broker dealer compliance field and/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;
  • Form ADV filing;
  • 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;
  • Assist outside counsel in drafting, preparing and negotiating limited liability company operating agreements, corporate shareholder agreements, investment management agreements, investor documents and other associated documents;

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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