Compliance Officer

New York, NY

Job Reference #1848

Our client, a leading investment firm with over $4B in AUM that focuses on digital currency and companies in the space, is hiring a newly created compliance officer to join their growing team.  This position is open due to the continued growth of the business and will assist the General Counsel/CCO in all aspects of building the compliance framework.

Key Points

  • Individual will be positioned for tremendous mentorship, professional development and the ability to “own” the compliance program
  • Firm is a leader in the crypto space and offers a unique opportunity for broad exposure to all parts of the crypto ecosystem
  • Person will have the ability to help build a first class compliance program

Responsibilities

  • Assist with implementing new compliance procedures, while developing policies and systems for firm-wide administration of compliance issues  
  • Advise Investment, Platform and Marketing teams on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulation and client mandates
  • Lead process for annual 206(4)-7 Report
  • Manage the compliance monitoring and testing program
  • Assist in on-boarding new hires and maintain training logs; review firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements
  • Manage firm-wide compliance with Code of Ethics requirements, such as reporting of personal trading, gifts & entertainment, political contributions and outside business activities
  • Support the CCO with various committee memberships
  • Review client and account documentation for anti-money laundering compliance; assist the CCO and Finance Dept with regulatory filings such as Form ADV 1, 2a, 2b and Form PF

Qualifications

  • 4-8  years of related compliance experience from either a direct hedge fund, compliance consulting firm, law firm or other investment manager
  • Ability to exercise risk-appropriate judgement
  • Extremely organized and able to work independently, while demonstrating sound judgment on escalation and enhancement suggestions to program

Compensation: $200-300k all in