Sr Compliance Associate recruitment
In this role, you will drive the administration of the compliance program for one of The Firm's registered investment advisers. Your responsibilities will include drafting and updating compliance policies and testing procedures, liaising with business partners as well as legal and outside consultants to identify and mitigate compliance risks, and analyzing the effect of new business initiatives and investment products on the compliance program. You will also field inquiries from employees and management on compliance matters, initiate trainings, draft training materials, and assist in the annual review of compliance policies and procedures. Other responsibilities will include: assisting in preparing for and responding to inquiries and audits from regulatory authorities and assisting in the development of regulatory reporting and regulatory filings. You will also monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analysis as to how such developments impact The Firm.
Candidates will have a bachelor's degree from a top university and at least 5-7 years of experience as a compliance professional at a mid- or large-sized investment advisory firm/hedge fund that is registered with the SEC and has preferably been through at least one SEC audit. A solid understanding of regulatory/self-regulatory agencies (e.g., FINRA, NYSE, FSA, CFTC) and the requirements of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Securities Act of 1933 is also required, as well as knowledge of ERISA. Candidates must demonstrate outstanding organizational and communication skills and comfort interacting with business professionals and applicable regulators. Experience at a hedge fund is a plus, as is prior work done at a regulator.