We are currelty partnered with a leading New York-based hedge fund dedicated to delivering top-tier investment performance with a foundation of integrity and compliance.
Position Overview: The Compliance Officer will oversee compliance aspects of our investment management activities, including expert network calls, risk evaluation, and general compliance duties.
Key Responsibilities:
Expert Network Calls:
- Chaperone calls to ensure compliance with policies and regulations.
- Maintain detailed records and conduct audits.
Risk Evaluation:
- Monitor and mitigate compliance risks associated with investments.
- Implement risk mitigation strategies.
General Compliance Duties:
- Enforce the fund's Code of Ethics.
- Manage regulatory filings (e.g., Form ADV, Form PF).
- Review marketing materials for regulatory compliance.
- Oversee employee compliance training programs.
Regulatory Liaison:
- Communicate with regulatory authorities and manage examinations.
- Organize required documentation.
Policy Development and Implementation:
- Develop and update compliance policies and procedures.
- Conduct compliance reviews and risk assessments.
Reporting and Documentation:
- Maintain records of compliance activities and prepare reports for senior management.
Qualifications:
- Bachelor's degree in Finance, Law, Business, or a related field; advanced degree or certifications preferred.
- Minimum of 5 years' experience in hedge fund or investment management compliance.
- Knowledge of SEC regulations and the Investment Advisers Act of 1940.
- Strong analytical and communication skills.
- High level of integrity and professionalism.
