Senior Compliance Professional

New York, NY

Job Reference #1843

Our client, a hedge fund with over $8 billion of AUM, is looking to hire an experienced compliance professional to join their team. Specifically, this new hire will be providing leadership teams with effective advice on compliance policies and regulatory procedures, while supporting all general compliance functions. This hire will be working closely with and reporting to the Chief Compliance Officer

Key Points

  • Opportunity to touch on all areas of the compliance program  
  • Firm is very stable and has been around for close to 20 years
  • Person will work closely with the CCO and have a say in how the program develops  

Responsbilities

  • Draft policies and procedures, perform and supervise scheduled forensic testing as it relates to the firm’s compliance monitoring program (personal trade reviews and email surveillance); draft periodic and annual reports documenting compliance reviews
  • Oversee the firm’s compliance calendar and perform numerous regulatory filings (Form ADV, Form D, CFTC filings, Form PF, TIC filings); review and approve marketing materials and firm responses to investor due diligence requests while overseeing service providers
  • Assist in preparing for and responding to regulatory inquiries and examinations from regulatory bodies; prepare and conduct compliance training programs
  • Participate in risk assessment analysis and documentation

Qualifications

  • 2-4 years of compliance experience preferably at a registered hedge fund, large asset manager or compliance consulting firm
  • Strong work ethic; strong knowledge and understanding of the Advisers Act
  • Proactive attitude and interest/ability to take on projects and run with them
  • Ability to manage multiple deadlines
  • Working knowledge with Smarsh software a plus

Compensation: $110-140K base; up to $170K all-in