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