Investment Advisor Compliance Officer recruitment
Major Duties and Responsibilities
• Involved in all aspects of the investment advisory business from a compliance stand point
• Design and implement robust enterprise-wide compliance program to identify, monitor, review, and test areas of regulatory compliance risk
• Manage the Code of Ethics program
• Interface with senior business and investment leaders on a daily basis to provide regulatory guidance on investment transactions and respond to regulatory inquiries regarding firm activities
• Participate in audits and assist in the management of regulatory examinations
• Perform employee compliance training
• Develop appropriate tests to assess the operating effectiveness of policies and procedures
Education and Skills
• Must have at least 2-7 years of relevant in-house experience at RIA or hedge fund
• Extensive knowledge of Investment Advisers Act of 1940
• Experience dealing with regulatory examinations
• Should have a strong academic record with, at minimum, a bachelor’s degree
• Excellent verbal and written communications skills
• Working understanding of systems used by investment advisors
• Strong management and supervisory skills
• Proactive business-minded approach to the role