Compliance Officer

New York

Larson Maddox
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We are currelty partnered with a leading New York-based hedge fund dedicated to delivering top-tier investment performance with a foundation of integrity and compliance.

Position Overview: The Compliance Officer will oversee compliance aspects of our investment management activities, including expert network calls, risk evaluation, and general compliance duties.

Key Responsibilities:

  1. Expert Network Calls:

    • Chaperone calls to ensure compliance with policies and regulations.
    • Maintain detailed records and conduct audits.
  2. Risk Evaluation:

    • Monitor and mitigate compliance risks associated with investments.
    • Implement risk mitigation strategies.
  3. General Compliance Duties:

    • Enforce the fund's Code of Ethics.
    • Manage regulatory filings (e.g., Form ADV, Form PF).
    • Review marketing materials for regulatory compliance.
    • Oversee employee compliance training programs.
  4. Regulatory Liaison:

    • Communicate with regulatory authorities and manage examinations.
    • Organize required documentation.
  5. Policy Development and Implementation:

    • Develop and update compliance policies and procedures.
    • Conduct compliance reviews and risk assessments.
  6. Reporting and Documentation:

    • Maintain records of compliance activities and prepare reports for senior management.

Qualifications:

  • Bachelor's degree in Finance, Law, Business, or a related field; advanced degree or certifications preferred.
  • Minimum of 5 years' experience in hedge fund or investment management compliance.
  • Knowledge of SEC regulations and the Investment Advisers Act of 1940.
  • Strong analytical and communication skills.
  • High level of integrity and professionalism.
Date Posted: 23 May 2024
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