Opportunities

 

Hedge Fund

Chief Compliance Officer & Assistant General Counsel, New York, NY

Chief Compliance Officer & Assistant General Counsel (New York, NY): Our client, a hedge fund with over $8+ billion of AUM, is looking to hire an experienced compliance professional to join their team. Specifically, this new hire will be providing leadership teams with effective advice on compliance policies and regulatory procedures, while supporting the general compliance function
 

Key Points: 

  • Opportunity to take on a key leadership role with a well-established hedge fund 
  • Person will have a seat at the table and work closely with the partners of the firm
  • Fund iscontinuing to grow and add assets along with new products 

Responsibilities:

  • Draft policies and procedures, perform and supervise scheduled forensic testing as it relates to the firm’s compliance monitoring program; stay up to date with ongoing regulatory developments and regulatory changes in applicable law and regulations with the ability to advise on those regulatory changes
  • Review and approve marketing materials, firm responses to investor due diligence requests and other compliance related items; prepare and conduct “New Hire” compliance training
  • Interface with external service providers addressing any issues as necessary; advise the firm’s business leaders on compliance issues (Code of Ethics, personal trading, insider trading, AML/KYC, Proxy Voting, etc.)
  • Oversee the firm’s compliance calendar and perform numerous regulatory filings (Form ADV, Form D, CFTC filings, Form PF, TIC filings); manage all responses to SEC examination, outside counsel in coordination with the Chief Legal Officer
  • Manage compliance staff; coordinate with legal team to address numerous fund formation documents (13D, HSR, Form 3,4,5, Form 144, 13F, NDAs and side letters)

Qualifications:

  • A bachelor’s degree and JD are required, 12+ years of relevant work experience preferably with an SEC-registered investment advisor; acute attention to detail and process orientation
  • Strong educational background preferred 
  • Prior law firm experience is required 
  • Understanding of Investment Advisors Act of 1940 and the Investment Company Act of 1940, FINRA, ERISA, CFTC or other US regulatory requirements; 
  • Ability to manage several projects and appropriately deal with individuals at all organizational levels in various roles; self-motivated individualwith impeccable time management skills, solid written and verbal communication skills

Job Reference #1574

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