Investment Advisor

Compliance Manager , New York, NY

Compliance Manager (New York, NY): Our client, a steadily growing and successful hedge fund with over $4B in AUM, is seeking a Compliance Manager to join their team in NYC.  This is a newly created position due to the growth of the firm and will be the first fully dedicated compliance professional.  The individual will work directly with the fund’s CCO/CFO in handling all daily aspects of the compliance program.  Specifically, the Compliance Manager will assist with designing new compliance policies and procedures to address regulatory initiatives; maintain the firm’s compliance program, compliance calendars, regulatory filings, etc.; coordinate all SEC filings and updates including Form ADV, 13F, 13G, and Form PF; handle periodic testing of compliance policies; organize compliance meetings; and assist and coordinate NFA and CFTC filings including Forms CPO-PQR and CTA-PR.  This is an exciting opportunity for a dedicated compliance professional to centralize the compliance functions for this established business.  Serving as the first and only fully dedicated compliance professional, the candidate can make an impact on the business and the compliance culture of the firm in establishing practices and spearheading compliance initiatives with the possibility of assuming the CCO title over time.  The ideal candidate will have 5-7+ years of experience within financial services, preferably from a hedge fund or compliance consulting firm.  The candidate must have excellent organizational and multitasking skills, strong attention to detail, be an effective communicator, proactive, and motivated. Microsoft Office skills and knowledge of the 1940 Act are necessary.

facebook twitter linkedin

Designed by Tradical360, an SEO Company in New York, NY