Compliance Officer

New York, NY

Job Reference #1815

Our client, a hedge fund with over $9 billion in AUM and several international offices, is looking to hire a Compliance Officer to join their New York team.  This position will report directly to the firm’s CCO focusing on the general management, implementation and maintenance of the firm’s compliance monitoring program.

Key Points

  • Opportunity to join a thriving hedge fund in a generalist capacity
  • Firm prides itself on innovation and growing people both personally and professionally
  • Firm is doing very well and growing rapidly

Responsibilities

  • Periodic and ongoing assessment of the firm’s compliance program; develop and implement the firm’s compliance policies and procedures and compliance monitoring program
  • Preparation of regulatory filings, MNPI management, marketing material review, portfolio compliance, Code of Ethics oversight, AML, information security and compliance testing
  • Review investor communications, promotional materials and fund documentation; assist with preparation for internal and external audits, regulatory examinations and investigations
  • Conduct periodic compliance training sessions and design, lead and complete multi-disciplinary projects; interact with and provide advisory compliance support to investor relations, business development and operational professionals
  • Monitor ongoing legal and regulatory developments; implement new compliance initiatives as law, compliance and business circumstances evolve

Qualifications

  • 2+ years of relevant investment advisory compliance experience;
  • Deep understanding and excellent judgement across compliance areas; thorough understanding of both the investment management industry and U.S. and international securities laws applicable to private funds, including the Investment Advisers Act of 1940, the Commodity Exchange Act, the Investment Company Act of 1940 and ERISA
  • Must be a highly organized and proactive, able to work independently on several projects while maintaining an appropriate level of transparency with the CCO and escalating matters as necessary