Chief Compliance Officer/ Associate General Counsel
Hedge Fund/ Private Equity firm with $2 billion in AUM is seeking a Chief Compliance Officer.
The CCO will report directly to the General Counsel, and manage all aspects of compliance, including regulatory, marketing, and HR. The hedge fund is responsible for managing a family of long/short hedge funds, long only fund, and private equity funds focused on the health care and life science sectors.
Responsibilities will include the following:
• Annual updates of Form ADV
• Assist with preparation of Form PF
• Liaise with Chief Operating Officer and General Counsel to administer policies and procedures
• Preparation of domestic and foreign filings (SEC filings, Blue Sky, etc…)
• Maintain the Compliance Manual and create all compliance testing related to ensuring compliance with the Firms’ policies and procedures
• Conduct annual review of Compliance Manual and Code of Ethics
• Review employee personal trading and brokerage accounts (and administration of automated compliance system)
• Train new and current employees on industry rules and the Firm’s compliance with particular areas that relate to their roles; act as contact person for the firm’s employees regarding compliance issues
• Proactively do checks on trading activity and research/emails immediately following MA announcements
• Monitor calls and meetings with consultants in Expert Networks and otherwise
• Participate in valuation committee meetings
• Manage compliance aspects of onboarding Vendors who provide research, consulting, brokerage and other services
• Coordinate research brokerage survey/commission allocation (2x per year) and monitor best execution; coordinate soft dollar services survey (2x per year)
• Coordinate with UK compliance consultant on UK compliance program
• Monitor trade activity for deviation from Funds’ allocation and investment policies
• Conduct monthly review to ensure compliance with investor side letters and other regulatory issues relating to composition of investors
• Maintain the Firm’s restricted list and watch list to ensure compliance with insider trading laws
• Review all marketing documents (pitch books, tear sheets, DDQs, presentations, etc.)
• Assist GC in managing facets of the Firm’s regulatory inquiries
Qualifications:
5-7 years of compliance and legal experience
Previously worked in compliance at a large sell side firm, particularly dealing with prop traders, securities division, or investment research
Previously held similar position for Registered Investment Advisor
Not required to be an attorney but would be considered favorably
To apply please submit your resume to Jack Kelly – JKelly@compliancesearch.com
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