Hedge Fund

Senior Director of Compliance, New York, NY

Senior Director of Compliance (New York, NY):  Our client, a hedge fund with over $7 billion in AUM, is looking to hire a Senior Director of Compliance to join their team. This individual will work directly with senior management and help manage a staff of 3 compliance professionals. S/he will be involved with all compliance functions within the team. More specifically, developing  and implementing policies and procedures; performing forensic testing to assess the adequacy of the firm’s policies and procedures including personally participating in risk assessment analysis and documentation; drafting periodic and annual reports documenting compliance reviews; maintaining compliance calendar; assisting with the preparation of regulatory filings; reviewing marketing materials; participating in due diligence/oversight of the firm’s service providers; assisting the  CCO in preparing and responding to regulatory inquiries and examinations; and assisting CCO in preparing and conducting internal compliance training programs. The ideal candidate will have 8+ years of SEC focused compliance experience in a fast-paced environment, preferably at a hedge fund, compliance consulting firm or advisory practice. The candidate must have strong knowledge and understanding of the Advisers Act as well as the ability to manage multiple deadlines. The candidate must be enthusiastic high level of patience, diligent and conscientious work ethic, and possess a strong work ethic and high energy.


  • Firm is stable and growing

  • This person will have the opportunity to lead a team and build out new processes 

  • They are getting involved in a lot of new products and business lines

  • A lot of upside potential – expectation is that this person will become Deputy CCO in 2018 

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