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David Careers

Registered Funds Compliance (Associate or VP)

Posted 15 days ago

arrow search partnersGreenwich (CT)
Compliance ManagersPortfolio Management and Investment Advice

SENIORITY

Senior

SALARY

$150,000 - $175,000 per year

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About the role

Registered Funds Compliance, Associate / Vice President Greenwich, CTAbout the FirmOur client is a well-established global systematic investment management firm. As quantitativeinvestors, research is the foundation of everything the firm does. It manages a range of alternativeand long-only strategies designed to meet the needs of institutional and wealth investors around theworld. The firm's culture reflects its academic roots and entrepreneurial spirit. Its collaborativeenvironment fuels innovation and encourages employees to ask thoughtful questions, thinkcreatively and bring new ideas forward. Continuous learning is an important part of the employeeexperience, helping people build skills and grow throughout their careers. Employees at every levelhave opportunities to contribute, regardless of title or tenure. The firm is headquartered in Connecticut, with offices across Europe, the Middle East and Asia-Pacific.
Your Role: The firm is currently seeking an exceptionally talented individual with three to six years ofinvestment or trading compliance experience to join its Compliance Department.
Responsibilities Include:
  • Monitor adherence to registered products (e.g., '40 Act Funds and UCITS Funds), clientguidelines, offering documents, internal parameters, and statutory requirements for privatefunds, and separately managed accounts
  • Draft, edit, and analyze written policies and procedures to respond to business/regulatorychanges or to launch new business lines
  • Develop a close working relationship with Portfolio Managers and Traders, and provide clear, sound advice to all groups across the firm
  • Research, interpret and advise the teams about compliance with applicable investment andtrading laws, regulations and guidance
  • Implement and/or refine monitoring measures to identify/address issues on a "real time" basisand assist with resolution
What You'll Bring: A Bachelor's degree, with a minimum of 3-6 years of related experience Understanding of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and UCITS regulations, especially in relation to alternative investment strategies
  • Experience with a variety of asset classes (including equities and fixed income) and derivativestypes (including futures and swaps), as well as alternative strategies
  • Strong knowledge of guideline monitoring software, Bloomberg, or a similar Order Management and Compliance Monitoring System (e.g. Aladdin, Charles River, Sentinel)
  • Thorough understanding of the markets and willingness to learn new and complex investmentmethodologies
  • CFA, CAIA or FRM is a plus
Who You Are:
  • Intelligent, energetic and goal-oriented with the ability to juggle multiple tasks, meet deadlinesand exercise sound judgment.
  • Excellent oral and written communication skills; must be able to confidently collaborate withvarious departments within the firm.
Well-organized and detail oriented. A self-starter with the ability to follow through and complete tasks in a highly intellectual, collaborative environment. The salary range for this role is expected to be $150,000 to $175,000. This is the range that the firmin good faith believes is accurate for this role at the time of this posting. The firm may ultimatelypay more or less than the posted range, depending upon factors such as skills, experience, location, or other business and organizational needs. This wage range may also be modified in the future. This job is also eligible for an annual discretionary bonus. The firm offers a comprehensive package of benefits including paid time off, medical/dental/visioninsurance, 401(k), and any other benefits to eligible employees.
Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, benefits, or anyother form of compensation and benefits that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company's solediscretion, consistent with the law. Our client is an Equal Opportunity Employer. EEO/VET/DISABILITY

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