Opportunities

 

Multi-Strategy Hedge Fund Manager

Compliance Officer, New York, NY

Compliance Officer (New York, NY): Our client, a mutli-strat hedge fund manager is looking to build out their compliance team in NYC. Specifically, the candidate of choice will assist in managing the firm’s US and global compliance policies and procedures. This new hire will report to the US Chief Compliance Officer, supporting tasks related to the compliance program and regulatory projects.

 

Key Points: 

  • Firm is growing rapidly and adding this position due to their growth 
  • This hire will have exposure to senior management and all aspects of the compliance program 
  • Opportunity to help build and automate a program – this person will be integral in developing new policies, setting up new vendors and implementing new systems 
  • The US CCO will be a great mentor and manager

Responsibilities:

  • Oversee the Firm’s compliance policies and procedures and Code of Ethics (surveillance of employee personal trading, review of Code of Ethics requests, employee quarterly/annual transaction and holdings report obligations and intermittent attestations); maintain and manage third-party code of ethics compliance portal
  • Prepare and review various regulatory filings (Form ADV, Form PF, CPO-PQR, 13F, 13H, TIC S, TIC SLT, BEA, etc.); conduct third party research compliance, including review/approval of expert network requests, chaperoning expert network calls, maintaining sufficient logs and research vendor due diligence 
  • Project manage, execute, and maintain 206(4)-7 annual review and compliance testing requirements (email and trade surveillance and periodic forensic testing); develop testing procedures, implement testing, produce areas for improvement from testing results and prepare final reports for senior management
  • Manage the Firm’s compliance calendar, administer the Restricted List, data room access and wall crossings procedures; evaluate new regulatory requirements in the US and abroad and design approaches to handle any new requirements 
  • Implement and execute compliance tech system/infrastructure buildouts in coordination with the global team (ACA Compliance Alpha, ACA Decryptex, trading systems, automation projects, etc.); conduct and assist US CCO with employee compliance trainings 

Qualifications:

  • At least 7 years of compliance experience, preferably from another multi-strategy hedge fund manager or other alternative investment management firm; bachelor’s degree or equivalent (Paralegal, JD or CPA a plus but not required)
  • Ability to handle multiple tasks simultaneously and work under pressure in fast paced environment; strong knowledge of the Investment Advisers Act of 1940
  • Exceptionally high ethical standards and organizational skills; must be comfortable working autonomously, with initiative but still be team-oriented
  • Excellent communicating skills, with the ability to effectively speak with all levels; experience in Word, PowerPoint, and Excel, comfortable with working with data sets

Job Reference #1706

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