Our client, an established, international investment advisor, is seeking an enthusiastic and diligent compliance professional to join their team in a newly created capacity. This is an exceptional opportunity to join a dynamic, successful fund in a #2 capacity on the compliance side of business reporting into an intelligent, kind, and innovative GC/CCO.
Key Points
- Firm is in the top quartile performance wise among its peers
- Organization and team are dynamic – they are doing in cutting edge work in the investment space
- New hire will constantly be learning; they are a firm of BIG thinkers and extremely collaborative
- Compliance is key and highly valued within the organization
Responsibilities
- Ensure the firm is SEC ready by maintaining and implementing the firm’s compliance program
- Oversee Code of Ethics and trade surveillance
- Assist in regular review and testing of the compliance program; prepare for regulatory filings and exams
- Collaborate with other teams in the firm to ensure compliance with policies and procedures
- Collaborate with the rest of the legal and compliance team on implementing regulatory changes
- Assist with all legal aspects of the fund formation process including reviewing contracts, communications and legal agreements
- Assist on legal and compliance projects as they arise
Qualifications
- Bachelor’s degree and 5-8 years of relevant compliance and legal administration experience at an investment firm
- Knowledge of the Investment Advisers Act of 1940 and previous experience with private funds, private structured investments, non-disclosure and vendor agreements
- Comfortable working in a fast-paced environment, with a keen sense of prioritizing workload and time sensitive projects; strong attention to detail and organizational skills
- Ability to work independently as well as part of a team
Compensation: $150-200K base + bonus (up to $400K all-in)