Hedge Fund

Compliance Officer, New York, NY

Compliance Officer (New York, NY): Our client, a successful hedge fund with north of $20B AUM, is seeking a Compliance Officer to support its CLO and liquid credit business line. 


Key Points: 

·         Firm has a strong global footprint and credit is the fastest growing business line 

·         Team runs lean and works closely with the business.  Additionally, the business appreciates a true partnership and values a positive compliance culture

·         Firm hires top talent with no egos; intellectual curiosity and the ability to run with projects is huge

·         No limit to growth potential. As the firm continues to grow, they expect this new hire to grow


·         Responsible for advising the relevant businesses on regulatory developments and legal issues; assist with the development and implementation of a compliance program tailored to the firm’s business operations

·         Conduct periodic risk assessments and compliance testing for the structured products business; assist with the management of legal, compliance and reputational risks of transactions and activities, including ensuring trading policies and procedures are maintained

·         Assist investor relations, compliance and accounting teams with the preparation of investor and other third-party communications and materials (marketing documents, advisory committee presentations, investor conference materials, track records, investor notices, financial and other reports)

·         Involvement in various legal aspects including structuring and forming new investment products.


·         2-6 years of structured products related compliance experience; exceptional analytical, drafting and verbal communications skills

·         Strong organizational and project management expertise; team player with the ability to work collaboratively across multiple teams

·         Working knowledge of securities and other laws such as rules and regulations applicable to registered investment advisers and private funds, including: the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act of 1936, the U.S. Employee Retirement Income Security Act of 1974 and the Alternative Investment Fund Managers Directive.

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