Senior Compliance Official

Job Description

WHAT YOU WILL DO

\n

We are a growing primary research firm that markets differentiated research and best in class compliance to public and private institutional investors. Our compliance protocols were designed to meet the highest industry standards and we are looking for a senior compliance official to join the team and help execute our compliance protocol, manage risk, and adapt firm compliance policies to meet an evolving regulatory backdrop. In the role, you will thoroughly review and approve all research reports prior to distribution and monitor and update the firm’s Code of Ethics and Compliance Manual. You will also be tasked with expert review, chaperoning expert and client calls, new client onboarding, and compliance training. We are looking for someone that will provide challenge and a control to the business’ compliance risk-taking and risk assessment for current and future products and firm initiatives. 

\n

​

\n

YOUR OPPORTUNITY WITH US

\n

\n
• Become a part of a team that is changing the primary research landscape
\n
• Join a hard-working team that allows for enhanced flexibility in both your professional and personal life
\n
• Collaborate with a cohesive team in a growing business fostering a startup mentality
\n
• Foster relationships with a select group of investors and compliance professionals at the world's largest funds, while learning about their investment process
\n

\n

 

\n

IMPORTANT CHARACTERISTICS TO SET YOU UP FOR SUCCESS :

\n

\n
• A Bachelor's degree in a relevant area of study, a legal background is a plus.
\n
• 5-10 years of prior compliance experience with a hedge fund or other alternative investment platform or an asset manager, or a regulatory agency or major consulting firm covering hedge funds or alternative asset managers.
\n
• Successful experience of leadership, both in terms of people as well as projects and initiatives.
\n
• Deep compliance risk knowledge, as well as good organizational, communication and influencing skills.
\n
• Significant experience with US regulations and a thorough understanding of the legal and regulatory expectations / requirements related to hedge fund compliance.
\n

\n

 

\n

QUALIFICATIONS :

\n

\n
• A strong drive and the ability to work with autonomy 
\n
• Structured, rigorous, analytical, holistic, and thorough in your approach, with the ability to form defensible conclusions from risk assessments and the ability to "stand your ground".
\n
• Someone with strong and sound judgment and able to articulate views, assessments, and approaches both verbally and in writing precisely, concisely, logically and accurately.
\n
• Able to present to and respond effectively to senior internal and external stakeholders.
\n
• Able to calmly manage conflict and pressure in a demanding, high-paced and high-volume environment.
\n
• Flexible and capable of prioritizing based on changing internal or external demands.
\n

\n

 

\n