Opportunities

 

Hedge Fund

Director of Compliance , New York, NY

Director of Compliance (New York, NY):  Our client, a $1.5B+ hedge fund, is seeking a compliance professional to join their team reporting directly into a Partner who sits in the highest legal and compliance capacity for the firm.  Working in a #2 capacity, this new hire will be handling the firm’s day to day compliance program.

 

Key Points:

  • Individual will be the second and only hire under the Partner/GC/CCO
  • Firm and General Partner both have a great reputation in the industry; the have steadily raised assets year over year
  • True generalist role within a complex hedge fund so this individual will learn a lot
  • The hiringmanager is a tremendous mentor – smart, fair, engaging

 Responsibilities:

  • Conduct compliance testing as part of the Firm’s 206(4)-7 annual reviews; provide regular surveillance and ad hoc internal investigations as necessary
  • Maintain and update the Firm’s Compliance Manual and other policies; monitor employee compliance with those policies and procedures
  • Manage the Firm’s Best Execution and Proxy voting programs; conduct regular compliance training programs
  • Prepare and file all necessary regulatory filings; review marketing materials, and investor due diligence requests
  • Research and implement changes to the compliance program related to on-going Dodd-Frank compliance initiatives, including CFTC and SEC compliance, andapplicable foreign jurisdiction regulation

Qualifications:

  • 3-6 years of comparable experience at a registered Investment Adviser or compliance consultancy firm
  • Experience managing the filing of Form PF, Form CPO-PQR, Section 13 and Form ADV
  • Must be able to manage multiple projects in a fast-paced environment
  • Ideal candidateshould be honest, have the highest degree of integrity, be a critical thinker, and be highly organized

Job Reference #1423

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