This is an incredible opportunity to join one of NYC’s top Hedge Funds.
An established and growing registered investment adviser with over $14 billion under management (in long only and hedge fund strategies), seeks a Compliance Officer to report directly to the Chief Compliance Officer.
Reporting to the Chief Compliance Officer (the “CCO”) and working closely with the General Counsel and Legal and Compliance team staff, the Compliance Officer will help implement and monitor the compliance program. She/he will be a “generalist” in the compliance function and will provide all necessary support to the Legal and Compliance team as directed by the CCO. The individual will work closely with all areas of the front, middle and back office including internal audit, operations and investment personnel, and will also interact regularly with external parties, including regulatory authorities, auditors and in some instances investors or advisors.
Responsibilities delegated by the CCO will include but are not limited to:
- Updating and Revising the Firm’s Code of Conduct, Compliance Manual and Risk Matrices
- Preparation of Federal, State and Foreign Regulatory Reports
- Preparation for Compliance Reviews conducted by the Firm’s independent examiner
- Preparation of Annual 206(4)-7 Review Report
- Managing and monitoring personal trading, compliance logs and required records of our compliance program through Compliance database (Compliance 11)
- Pre and post_trade breach monitoring in Compliance module (Linedata Compliance)
- Responsible for information and relevant training for new and existing staff
- Monitoring existing compliance controls for all operations departments and research and devising new controls and reports where required
- The successful candidate will have at least 5-7 years of RIA compliance experience, ideally from a multi-strategy registered investment adviser that manages private funds and separate accounts.
- The ideal candidate will possess excellent written and verbal communication skills and have a strong team orientation.
- The successful candidate will have strong interpersonal skills, and the ability to effectively communicate, interact and work with people at all levels of an organization.
- She/he will be a self starter and a proactive problem solver.
- The person will have a comprehensive understanding of the financial markets and a diversity of investment products.
- Finally, she/he will have the highest level of integrity, honesty, professionalism and work ethic.