A growing multi-strategy hedge fund based in Minneapolis, MN is looking to hire a Head of Compliance to their dynamic compliance team. The role will report directly to the Chief Compliance Officer and be responsible for daily oversight and operations of the compliance program. The role will also involve working directly with the traders.
Responsibilities
- The Head of Compliance will assist the Chief Compliance Officer in implementing the firm's overall compliance program
- Compliance functions will generally include compliance monitoring and testing in relation to the business, policy and procedure maintenance, risk management, due diligence, regulatory filings, reviews of marketing documents, and service provider oversight
- Perform ongoing monitoring and approval of personal trading, gifts and entertainment activities, outside activities, political contributions and other Code of Ethics policies and procedures
- Work alongside trades conducting pre-trade and post-trade monitoring and serving in an advisory capacity on the trading floor
- Executive firm-wide regulatory compliance with SEC, NFA, and other regulatory bodies
- Prepare and maintain all regulatory filings (Form ADV, Form PF, CPO-PQR, CTA-PR, Form D, 13F, etc.)
- Review and approve marketing materials
Requirements
- Bachelor's Degree
- 8+ years of industry related compliance experience
- Solid compliance, operational, and risk understanding of alternative investments and private funds, including hedge funds and private equity funds
- Strong working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, and SEC and CFTC/NFA regulations
- Strong verbal and written communication skills
- Experience partnering successfully with business colleagues
