Compliance Attorney recruitment

A  Multi-strategy Hedge Fund is seeking a Compliance Attorney that will provide trading counsel to the investment staff.  A primary role of this employee will be to vet the information that is received by the analyst team, enforce trading restrictions and escalate matters to the CCO and/or GC as necessary. 

Duties:

• Conduct compliance training and monitor regulatory developments affecting the firm’s trading operation. 

• Assist with enforcing compliance policies.

• Assist with monitoring regulatory developments and updating compliance policies/procedures as required.

• Assist with educating investment and non-investment staff with regard to trade related compliance.

• Assist with forensic testing to satisfy ongoing compliance obligations.

Qualifications

• Strong knowledge of the Investment Advisers Act of 1940.

• Strong knowledge of 1934 Act trading rules.

• Experience in equities and equity derivatives trading compliance.

• JD 4+ years compliance or legal experience required.

• Experience sitting on a trading desk (plus).

Compensation: Commensurate upon experience, up to $150K