Director of Compliance
The individual will also have opportunities for professional development.
Responsibilities
The Director of Compliance will report to the COO. The individual will work closely with the COO, Partners, and other Senior Management to assist with a variety of tasks including, but not limited to:
- Developing and Managing the compliance program and business procedures
- Updating the firm’s compliance manual, systems and control documents on an ongoing basis
- Liaising with affiliates on broad compliance policy issues
- Keeping abreast and informing the overall team of applicable regulatory changes
- Providing guidance and training to employees on compliance-related matters
- Completing other tasks as directed by the COO
Qualifications
The ideal candidate will have 5+ years of experience in a hedge fund, proprietary trading firm, exchange, bank, or regulator.
- BA or BS from top University and a JD
- A solid understanding of regulatory rules SEC/NFA
- Experience drafting and reviewing compliance procedures
- Excellent written and verbal skills with a strong attention to detail
- The ability to work autonomously in a team environment
- Excellent analytical skills to assist in strategic decision-making
Interested candidates should submit resumes
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