Compliance Officer

New York, NY

Job Reference #1796

Our client, one of the most successful hedge funds with over $25B in assets, is seeking an experienced and motivated Compliance Officer to join their legal and compliance team. Working

Key Points

  • Firm boasts camaraderie and a supportive team environment
  • Individual will be positioned for tremendous mentorship and professional development
  • Organization is extremely successful and stable  
  • Team is flat allowing exposure to all areas of the compliance program 
  • Firm hires top talent with great attitudes so this new hire will be surrounded by intelligent, humble, and resourceful coworkers

Responsibilities

  • Assist in ongoing development and implementation of all compliance policies and procedures
  • Provide support with compliance monitoring and annual regulatory examinations, testing and reporting
  • Assist in managing policies related to confidential information
  • Assist in trade surveillance
  • Maintain relationships with trading counterparties and outside vendors and ensure compliance with Firm’s policies and procedures
  • Serve as an internal resource for employees on compliance policies and procedures

Qualifications

  • Bachelor’s degree and strong academic record
  • 5-10 years or relevant compliance experience
  • Strong knowledge and understanding of compliance issues in the investment management industry, more specifically the Investment Advisers Act of 1940, the Investment Company Act of 1940 and the Securities Exchange Act of 1934