Compliance Manager
New York based Compliance Manager Opportunity to work for established Hedge Fund with Global Offices - Must have authorisation to work in the US
Role Details:
* This role will be based in the New York office, reporting in to the Chief Compliance Offer.
* This role is ideal for someone looking to step up in to a number two/ deputy to the CCO in due course, or take this on immediately if appropriate.
* As part of a close knit small compliance team, your role will be very broad.
* Monitoring and Testing - have oversight of the Group's annual review program pursuant to Rule 206(4)-7 of the Advisers Act.
* Work to establish a risk based review plan to meet review cycle requirements.
* Perform testing of compliance and regulatory related controls to evaluate effectiveness.
* Draft preliminary recommendations and work with responsible owners to agree on corrective action based on review findings.
* Follow-up on action plans to verify that corrective action has been effectively implemented.
* Provide necessary training and assistance to other members of the team to ensure they are able to plan and conduct compliance reviews.
* Overseeing the work of team members.
* Other generalist duties will include:
* Policy writing
* Regulatory Filings
* AML
* Training
* Ad-hoc special products
Candidate Requirements:
* Strong proven compliance background gained, ideally, in the investment management/hedge fund sector.
* Authorised to live and work in the US (US Visa/ citizenship, etc).
* Very broad compliance experience, including in depth monitoring skills.
* Must be able to work effectively as part of a small team where the role will be very varied.
* Excellent interpersonal and communication skills.
* Strong relationship building ability.
* Able to deal effectively with senior management and the business e.g. handling queries, investigating and handling regulatory related issues.
* Supervisory experience as this role will require assisting supervising the compliance team.
* Work well in a small firm environment.
Leave a Reply
You must be logged in to post a comment.