Compliance Officer recruitment
Be part of our dynamic legal and compliance team, providing compliance oversight for SCM assuming responsibility for a comprehensive program of compliance policies, procedures, reporting and review for the firm in compliance with all applicable laws and regulations, including the Investment Advisers Act, as well as the firm's code of ethics, and other regulations which may apply in the normal course of the firm’s business as a registered investment advisor.
Primary Responsibilities:
• Maintain compliance manuals, provide training, test policy effectiveness and conduct surveillance for any breach of policies.
• Oversee company’s code of ethics evaluating current policies and procedures against best practices.
• Conduct specific compliance reviews to ensure the adequacy of the company’s compliance program and provide recommendations and enhancements as required.
• Work closely with the company’s General Counsel in the monitoring and implementation of procedures to address new regulatory rules and requirements.
• Prepare monthly and annual written compliance reports.
• Review policies, procedures and controls relating to various investment adviser regulatory issues.
• Assist with gathering data and generating documentation for regulatory and governmental filings.
• Assist with document retention oversight and internal audit requirements.
• Prepare and review regulatory and governmental filings.
• Monitor legal developments in compliance area. Design new compliance initiatives as law, compliance and business evolve, and implement new initiatives.
Requirements of the Candidate include:
- Bachelors degree – legal or audit background would be considered an asset.
- 3 - 5+ years of experience relating to investment adviser regulation, preferably at the SEC, a regulatory consulting firm or in the Hedge Fund industry.
- A thorough understanding of U.S. securities laws, including the Investment Advisers Act of 1940.
- Ability to effectively and clearly identify issues and communicate findings to other members of the Legal department.
- Exceptional organization and communication skills.
- A proven ability to multi-task and work both independently and as a team player in a fast-paced environment.