Multi-Strat Hedge Fund

Compliance Officer, New York, NY

Compliance Officer (New York, NY): Our client, a multi-strategy hedge fund with over $5 billion in AUM, is seeking a bright and experienced compliance professional to join their NYC team. This new hire will be reporting to the General Counsel/Chief Compliance Officer covering all aspects of day-to-day compliance matters relating to the firm’s global offices.


Key Points:

  • Legal and compliance team runs lean allowing this new hire exposure to all areas of their program 
  • CCO is smart and eager to teach and pass off work to this new hire in order to grow his/her skill set 
  • CEO values culture and people; a collaborative and open tone is set at the top for the organization
  • This positionwill offer this hire the ability leave their mark on the compliance program 


  • Assist with drafting and implementing all compliance and conflicts of interest policies (compliance manual, annual compliance review, code of ethics, personal trading, expense and trade allocations); conduct compliance testing, review trading and portfolio management activity, monitor various trade surveillance reports and electronic communications
  • Coordinate with back office to complete all SEC, FCA and NFA regulatory fillings (Form ADV, PF, Form D, 13D-F-G-H, GABRIEL fillings and MiDIF); assist with the annual 206(4)-7 compliance review
  • Advise on domestic and foreign Jurisdictional marketing efforts such as, marketing materials and client onboarding relating to compliance; conduct employee training 
  • Oversee the firm’s code of ethics; stay abreast with and analyze the impact of change to relevant compliance laws, regulations and market infrastructure, while providing sound advice and support 


  • 4 – 7 years of relevant compliance experience, managing a global compliance program within a fund is preferred; open to JD or non JD candidates 
  • Knowledge of the Advisors Act, CFTC rules and regulations, NFA rules and other regulatory agencies; understanding of derivatives markets and complex financial products 
  • Must display a high level of professionalism, discretion while maintaining confidentiality of such matters; comfortable working independently in a fast-paced environment with multiple deadlines
  • Excellent written and verbal communicationskills; strong ownership mentality and a drive for results

Job Reference #1563

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