Senior Compliance Officer
Rutherford Search
About the job We are currently supporting a global multi-strategy hedge fund with a new senior compliance hire in New York. The hire will primarily provide support to their equities strategy and secondary coverage to their other strategies. Direct report into the Global Chief Compliance Officer. Responsibilities :
- Serve as primary point of contact for the SEC and CFTC, managing regulatory relationships and inquiries.
- Provide compliance advisory support to front office and investment teams across day-to-day business activities
- Lead preparation and submission of key regulatory filings, including Form ADV and Form PF, and support broader reporting obligations (including international long/short filings).
- Oversee the core compliance programme, including Personal Account Dealing (PAD), conflicts of interest, gifts and entertainment, and ongoing monitoring.
- Manage watch and restricted lists, information barriers, and wall-crossing procedures.
- Conduct trade and electronic communications surveillance and enhance related control frameworks.
- Review, draft, and enhance compliance policies, procedures, training programmes, and management information reporting.
- 5 - 10 years of compliance experience, ideally from a leading hedge fund
- Strong generalist background, good knowledge of SEC, CFTC and NFA regulations
- Strong ECM/Equities compliance experience is required.
Vacancy posted 3 days ago
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