Compliance Manager

Social Capital Resources

Fund in Stamford, Connecticut is seeking a Compliance Manager for a full‑time position! Responsibilities Assist with maintaining the compliance program for an SEC RIA (large filer for Form P F). Proficient in working with portfolio data to ensure proper pre‑trade compliance (restricted list, adherence to investment guidelines as per the PPM, SMA terms). Manage all other compliance requirements such as quarterly attestations, personal employee trading. Ensure all necessary filings are made (13H, Form PF, CFTC exemptions, etc). Inventory and track for adherence to any investor requirements (side letter terms, SMA terms, etc). Qualifications Bachelor's De gree3-7 years experience working in compliance at a hedge fund or asset man #J-18808-Ljbffr

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Vacancy posted 5 days ago

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