Opportunities

 

Full Service Outsourcing Arm

Director of Compliance , New York, NY

Director of Compliance (New York, NY):Our client, a full service outsourcing arm for hedge funds and private equity firms is looking for a top-notch compliance professional to join their growing compliance program.   This person will be responsible for advising on strategic compliance matters and work directly with the business, the clients, and with legal and compliance professionals.  This is a very exciting opportunity for an entrepreneurial minded compliance professional who is interested in a growing a business.  This compliance professional will be responsible for coordinating the daily compliance program, which includes, overseeing several compliance professionals for a platform of registered investment advisers, commodity pool operators, and/or commodity trading advisors.  Duties include email surveillance, trade analysis, monitoring expert networks and research calls, compliance policies testing, assisting with regulatory filings, maintaining watch lists, conducting employee trainings as well as conducting program reviews and audits.   The Director of Compliance will also be responsible for working with the managing partner to build out the regulatory compliance consulting arm of the business.  These responsibilities include meeting prospective clients, developing programs, engaging various consultants, supervising applicable employees and consultants as well as performing ad hoc tasks related to building the business.  The ideal candidate will have 4+ years of relevant legal/compliance experience at a consulting firm and/or an advisory firm.  The candidate must possess excellent knowledge of regulatory obligations of SEC registered investment advisers and CFTC registered commodity pool operators/commodity trading advisors.  Must be entrepreneurial minded, have excellent communication and organizational skills, be team oriented, detail-oriented and have the ability to multi-task.  Additionally, must have professionalism and credibility to liaise effectively within and outside the business.

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