Opportunities

 

Hedge Fund

Compliance Attorney, Connecticut

Compliance Attorney (Connecticut): Our client, a successful hedge fund with over $1B in AUM, is eager to hire a motived legal and compliance professional to join their growing team. This new hire will report to the Chief Operating Officer/Chief Compliance Officer.

 

Key Points:

  • Firm is stable and growing leading to the need to hire in this newly created position
  • Company culture is very flexible – the two principals have been described as “really nice people who are considerate of individuals not just as employees but as humans”
  • Although small in size, the firm is big on promoting from within and valuing the work of their employees

Responsibilities:

  • Manage the firm’s compliance testing and risk evaluation program; generate testing documentation and compliance memoranda
  • Drive the Rule 206(4)-7 annual review process
  • Assist with the reviewing and monitoring process of legal agreements (client legal documents, non- vendor contracts, disclosure agreements and private transaction deal documents)
  • Assist the CCO with policy and procedure development and implementation; assist with efforts to mitigate MNPI and insider trading risks
  • Track, prepare, and submit required federal, state and foreign regulatory filings (Form ADV, Form PF, Section 13(G/D, F, H) FATCA/CRS)
  • Conduct and document vendor due diligence and risk valuations
  • Assist in monitoring pre-clearance requests, compliance with the Code of Ethics and review employee reporting; properly organize the firm’s regulatory books and records  

Qualifications:

  • Strong educational background with a J.D.
  • 3-5 years of relevant experience directly from a registered investment advisor or compliance consulting firm; working knowledge of the following regulatory areas (The Advisers Act, SEC guidance and focus areas, The Securities Act, FATCA/CRS, AIFMD, GDPR)
  • Familiarity with compliance tools a plus; experience negotiating and reviewing contract and other legal documents
  • Working knowledge with cybersecurity matters is a plus
  • Excellent written, oral and organizational skills; comfortable communicating effectively with upper management

Job Reference #1392

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