Opportunities

 

Hedge Fund

Deputy CCO & Counsel (to become CCO), New York, NY

Deputy CCO & Counsel (to become CCO in 3-6 months)  (New York, NY): Our client, a hedge fund with 2+ billion of AUM, is looking to hire an experienced compliance professional to join their team. Specifically, this new hire will be providing effective advice on compliance policies and regulatory procedures, while supporting the general compliance function.  This hire must have an entrepreneurial attitude and a willingness to roll up their sleeves.   

 

Key Points: 

  • Opportunity to take on a key leadership role and develop a robust compliance program  
  • Person will have a seat at the table and work closely with the partners of the firm
  • Fund is continuing to grow and add assets along with new products 
  • Position will likely have the opportunity to grow into General Counsel as well 

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(political contributions, gifts & entertainment, IPO and private investment requests); prepare and conduct “New Hire” compliance training
  • Interface with external service providers (Administrators, Brokers, Technology providers) addressing any compliance-related 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 regulatory requests from the SEC, coordinating the production of documents and interview requests
  • Work closely with outside counsel on legal matters and meet with investors/prosects during onsite due diligence meetings; oversee Brokerage Committee (and other related committees) as needed

Qualifications:

  • A bachelor’s degree and JD are required, 10+ years of relevant work experience preferably with an SEC-registered investment advisor; acute attention to detail and process orientation
  • Strong Educational Background  preferred 
  • Understanding of Investment Advisors Act of 1940 and the Investment Company Act of 1940, FINRA, ERISA, CFTC or other US regulatory requirements; previous experience with SEC examinations and other regulatory inquires
  • Ability to manage several projects and appropriately deal with individuals at all organizational levels in various roles; self-motivated individual with impeccable time management skills, solid written and verbal communication skills

Job Reference #1659

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