Compliance Officer

Compliance Officer (New York, NY): Our client, an established institutional alternative investment manager, is looking to add a Compliance Officer to its New York team. This is a broad-based role with significant exposure across the U.S. compliance program, including direct interaction with investment professionals, research teams, and senior leadership.

Highlights

• The firm has tripled AUM over the past three years and continues to expand across new investment strategies
• Serve as the most senior compliance professional based in the New York office, with meaningful exposure to senior decision-makers
• Broad responsibility across the compliance program with significant opportunity to expand the scope of the role over time

Responsibilities

• Help oversee and support the firm’s U.S. compliance program
• Provide day-to-day compliance advice to investment and research professionals
• Participate in the annual Rule 206(4)-7 review, forensic testing and ongoing monitoring
• Draft, enhance and implement compliance policies and procedures
• Support all aspects of the Code of Ethics, including personal trading, gifts and entertainment, outside activities, conflicts and political contributions
• Monitor regulatory developments and assist with implementation of applicable changes
• Prepare and review regulatory filings, including Form ADV, Form PF, 13F, 13H, Blue Sky, NFA/CFTC and FCA-related filings
• Review marketing materials, presentations, newsletters and DDQs
• Assist with pre- and post-trade compliance reviews
• Monitor side-letter and investment-management-agreement obligations
• Support regulatory examinations, compliance training and books and records requirements
• Conduct compliance due diligence on vendors, brokers, research providers and other third parties
• Investigate and escalate potential compliance issues and assist with other ad hoc matters

Qualifications

• Bachelor’s degree with a strong academic record
• 5+ years of relevant compliance experience within a hedge fund, investment adviser, compliance consulting/vendor environment or regulatory organization
• Working knowledge of U.S. and U.K. securities regulations
• Familiarity with SEC, NFA, CFTC and relevant exchange requirements
• Strong organizational, analytical and critical-thinking skills
• Proactive, detail-oriented and comfortable managing multiple priorities
• Ability to work independently while collaborating effectively across the organization
• Strong project-management skills, professionalism and discretion