Hedge Fund Compliance Attorney
The Compliance Officer is primarily responsible for day-to-day implementation and maintenance of compliance program including, among other things, the development of compliance policies, procedures and processes, conducting the risk assessment analysis, supervising portfolio compliance and other compliance testing, reviewing marketing materials, and reviewing and analyzing applicable laws and regulations for impact on the firm’s compliance monitoring function.
Key responsibilities include:
• Assist in the development, implementation and maintenance of compliance policies, procedures and processes.
• Assist in the analysis and interpretation of applicable laws and regulations.
• Conduct the firm’s compliance risk assessment.
• Supervise and perform compliance oversight and testing to ensure the adequacy of the firm’s compliance program, for example, testing adherence to the firm’s policies regarding brokerage, best execution, allocation, insider trading and related matters.
• Review marketing materials, including pitch books, due diligence questionnaires, RFPs, strategy fact sheets, market commentary, etc., for accuracy and compliance with applicable rules and regulations.
• Prepare and maintain the filing of the firm’s Form ADV.
• Assist with the preparation and review of various other regulatory filings.
• Oversee policies and procedures relating to analysts’ usage of expert networks
• Oversee and monitor the implementation of procedures to address new regulatory rules and requirements.
• Assist in coordinating and responding to regulatory and/or compliance examinations conducted by internal or external parties.
• Prepare and conduct ongoing compliance training for firm employees.
• Assist with a variety of special projects.
Requirements:
The ideal candidate will have the following:
• Bachelor's degree with a strong academic record.
• JD required.
• 3-5 years of compliance experience, preferably at the SEC, a regulatory consulting firm or another asset manager.
• Strong understanding of investment adviser industry.
• A thorough understanding of both worldwide and U.S. securities laws, including the Investment Advisers Act of 1940 and Investment Company Act of 1940.
• Ability to comprehend and apply other applicable laws and regulations, including those governing the firm’s ERISA clients and operations in non-U.S. jurisdictions.
• A proven ability to effectively and clearly identify issues and communicate findings to other members of the team.
• A proactive, self-starter work style and able to interact with people with varied personalities and work styles.
• Outstanding organization skills, including prioritizing and follow-up.
• A proven ability to multi-task and work both independently and as a team player in a fast-paced environment.
• Working knowledge of Experts Network
• Some experience in Long/Short
Preferred skills:
• Series 7, 63 or 24 licensed
• Knowledge of ERISA regulations for investment advisers.
To apply please submit your resume to Jack Kelly – Jkelly@compliancesearch.com
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