Opportunities

 

Hedge Fund

Compliance Officer, New York, NY

Compliance Officer (New York, NY): Our client, a global hedge fund with over $4b in AUM, is eager to bring on a compliance professional to join their NYC team. The candidate of choice will assist and report to the Chief Compliance Officer and support all global regulatory efforts. 

 

Key Points: 

  • Firm is growing rapidly and just recently expanded into the US 
  • This is the first time fully dedicated hire within compliance for the NYC office
  • Person will report into the CCO who is based in London 
  • Exposure to international regulations 

Responsibilities:

  • Assist with compliance testing and monitoring duties as it relates to business and regulatory requirements; review Code of Ethics (pa dealing, conflicts, gifts & inducements, political contributions)
  • Monitor all surveillance activities ensuring that the firm conducts its business in compliance with applicable laws and regulations (short selling reporting, restricted lists, personal account dealing, best execution, gifts and entertainment); assist with global registrations with regulators
  • Assist with regulatory filings and reporting such as Form ADV, Section 13F/13H Reporting/Form PF/CPO-PQR Filings/7R, EMIR Reporting, substantial shareholding disclosures; review marketing materials and advertising
  • Liaise with all relevant statutory and regulatory organizations, external auditors and other external personnel; maintain the compliance science system and review employees conflict of interest attestations

Qualifications:

  • 5+ years of compliance experience within a hedge fund or asset management firm; bachelors degree with superior academic performance
  • Knowledge of SEC/CFTC rules and regulations, awareness of FCA rules is beneficial; must be comfortable working independently as well as in a team setting 
  • Strong communication and writing skills; highly motivated with a can-do attitude, able to work in a fast paced environment 

Job Reference #1394

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