We are currently partnered with a leading hedge fund looking to add a Compliance Officer with who will report directly to the Chief Compliance Officer. The ideal candidate has marketing review, regulatory filing, and code of ethics experience.
Compliance Officer Responsibilities:
- Implement and manage compliance programs in line with regulatory obligations.
- Maintain supervisory policies to ensure compliance with federal securities laws.
- Collaborate on regulatory reporting with internal and external partners.
- Review and approve requests related to compliance policies and procedures.
- Ensure promotional materials comply with SEC regulations.
- Support compliance training programs and initiatives.
- Research and implement compliance processes based on regulatory requirements and industry best practices.
- Provide backup support for compliance responsibilities as required.
Compliance Officer Qualifications:
- Bachelor's Degree in Finance, Accounting, Business, or related fields preferred.
- 3+ years of generalist investment management compliance experience with a focus on marketing review, Code of Ethics, and regulatory filing
