Director of Compliance/Legal
THIS ROLE IS BASED IN NEW JERSEY
Primary Responsibilities
- Work with Senior Management to promote a culture of compliance
- Review the adequacy of the Firm's policies and procedures and the effectiveness of their implementation (e.g. code of ethics governing the personal trading practices of all employees, trade allocation, best execution, surveillance of communications, etc.)
- Update the Firm's policies and procedures as a result of changes in business activities or operations
- Provide training to all employees about the compliance culture and systems in place
- Monitor changes to applicable laws, rules and/or regulations
- Prepare for the possibility of an SEC examination
- Ensure the firm's disclosure documents, compliance policies and procedures and actual business and compliance practices are all consistent
- Prepare and file annual update amendments to Form ADV
- Prepare and file other reporting obligations of registered investment advisers, such as Form PF, Form 13F, etc.
- Review legal agreements such as vendor agreements, fund documents, etc.
Qualifications
- 5-10 years of relevant experience in compliance department of a hedge fund registered with the SEC
- Bachelor's degree from a top university, JD a plus
- Excellent written, communication, and interpersonal skills, ability to present internally and externally to manager and clients
- Excellent attention to detail and strong time management skills
- Must be able to work independently while understanding the importance of being a strong team player
THIS ROLE IS BASED IN NEW JERSEY
Leave a Reply
You must be logged in to post a comment.