Hedge Fund

Senior Compliance Officer, New York, NY

Senior Compliance Officer (New York, NY):  Our client, a hedge fund with over $4 billion in AUM and several international offices, is looking to hire a Senior Compliance Officer to join their New York team.  This position will report directly to the firm’s CCO.



·       Assisting in the general management, implementation and maintenance of the firm’s compliance monitoring program, including periodic and ongoing assessment of the program; developing and implementing the firm’s compliance policies and procedures and compliance monitoring program

·       Reviewing investor communications, promotional materials and fund documentation; assisting in the preparation of the firm’s various SEC, CFTC, NFA and foreign regulatory filings

·       Organizing and leading periodic training sessions for employees on a variety of routine and ad hoc compliance matters; interacting with and providing advisory compliance support to investor relations, business development and operational professionals

·       Monitoring ongoing legal and regulatory developments, and implementing new compliance initiatives as law, compliance and business circumstances evolve; assisting with preparation for internal and external audits, regulatory examinations and investigations 


·       At least 4 years of compliance experience

·       Thorough understanding of both the investment management industry and U.S. and international securities laws applicable to private funds, including the Investment Advisers Act of 1940, the Commodity Exchange Act, the Investment Company Act of 1940 and ERISA.

·       A bachelor’s degree with a strong academic record is also required

·       Highly organized and proactive individual that is willing to work independently on several projects while maintaining an appropriate level of transparency with the CCO and escalating matters as necessary 

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