Compliance Officer
landing pointBrooklyn (NY)
About the role
Compliance Officer (New York, NY): Our client, an established institutional alternative investment manager, is looking to add a Compliance Officer to its New York team. This is a broad-based role with significant exposure across the U.S. compliance program, including direct interaction with investment professionals, research teams, and senior leadership. Highlights The firm has tripled AUM over the past three years and continues to expand across new investment strategies Serve as the most senior compliance professional based in the New York office, with meaningful exposure to senior decision-makers Broad responsibility across the compliance program with significant opportunity to expand the scope of the role over time
Responsibilities:
- Help oversee and support the firm’s U.S. compliance program
- Provide day-to-day compliance advice to investment and research professionals
- Participate in the annual Rule 206(4)-7 review, forensic testing and ongoing monitoring
- Draft, enhance and implement compliance policies and procedures
- Support all aspects of the Code of Ethics, including personal trading, gifts and entertainment, outside activities, conflicts and political contributions
- Monitor regulatory developments and assist with implementation of applicable changes
- Prepare and review regulatory filings, including Form ADV, Form PF, 13F, 13H, Blue Sky, NFA/CFTC and FCA-related filings
- Review marketing materials, presentations, newsletters and DDQsAssist with pre- and post-trade compliance reviews
- Monitor side-letter and investment-management-agreement obligations
- Support regulatory examinations, compliance training and books and records requirements
- Conduct compliance due diligence on vendors, brokers, research providers and other third parties
- Investigate and escalate potential compliance issues and assist with other ad hoc matters
Qualifications:
- Bachelor’s degree with a strong academic record 5+ years of relevant compliance experience within a hedge fund, investment adviser, compliance consulting/vendor environment or regulatory organization
- Working knowledge of U.S. and U.K. securities regulations
- Familiarity with SEC, NFA, CFTC and relevant exchange requirements
- Strong organizational, analytical and critical-thinking skills
- Proactive, detail-oriented and comfortable managing multiple priorities
- Ability to work independently while collaborating effectively across the organization
- Strong project-management skills, professionalism and discretion
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