Compliance Associate
Social Capital Resources LLC
Job Description
Job Description
Fund in Midtown, Manhattan is seeking a Compliance Manager for a full-time position!
Responsibilities:
- Day-to-day administration of the compliance program under Rule 38a-1 and Rule 206(4)-7
- 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.)
- Prepare the annual compliance calendar and monitor adherence to all deadlines.
- Manage employee regulatory filings, disclosures, and preclearance requests
- Distribute compliance notifications, including trading window alerts and restricted lists, and issue additional reminders as needed.
Qualifications:
- Bachelor's Degree
- Working knowledge of the Investment Advisers Act, Investment Company Act, and Securities Exchange Act
- 3-7 years experience working in compliance at a hedge fund or asset manager
- Experience with owning recurring compliance calendars and close items with documented evidence of review and completion.
Vacancy posted 2 days ago
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