Senior Compliance Associate (New York, NY):
Our client, a hedge fund with approximately $5B in AUM, is seeking a Senior Compliance Associate to join their dynamic and collaborative team. This newly created position will report directly to the CCO and be the 4th person to join compliance with broad exposure to all areas of the program.
Key Points
CCO is an exceptional mentor with a keen interest and proven history of promoting the professional development of their team
Newly-created role on a high-performing compliance team
Ability to work as the sole compliance professional in the Miami office or join the NYC team
Broad compliance generalist responsibilities in a high-visibility role with an established and growing hedge fund with a track record of success.
Responsibilities
Develop, implement, and maintain compliance policies and procedures, and recommend opportunities for improvement
Design and conduct training on relevant topics
Keep apprised of developments in the regulatory environment, including industry best practices and initiatives, to implement updates to the compliance program
Assist in managing regulator inquiries, including conducting relevant research and formulating draft responses
Oversee the preparation and coordination of the firm’s annual compliance review and any regulatory examinations
Analyze information gathered through the firm’s surveillance systems to proactively identify potential issues
Assess internal workflows and reports, identifying and addressing opportunities to improve and/or automate practices
Monitor firm activity to identify regulatory filing requirements and prepare such filings
Provide guidance on compliance issues to employees as appropriate and collaborate with third-party providers/outside counsel
Qualifications
7 to 10 years of experience in the financial services space
Demonstrated knowledge of the Investment Advisors Act
Ability to work in-person in the firm’s Miami/NYC office 3 days per week
Strong preference for candidates with experience in roles with hedge funds and/or regulatory bodies
High level of professional discretion, capable of maintaining confidentiality in a role with visibility to privileged information
Energetic, detail-oriented, and highly organized, with a history of proactively pursuing additional responsibility
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Key Points
CCO is an exceptional mentor with a keen interest and proven history of promoting the professional development of their team
Newly-created role on a high-performing compliance team
Ability to work as the sole compliance professional in the Miami office or join the NYC team
Broad compliance generalist responsibilities in a high-visibility role with an established and growing hedge fund with a track record of success.
Responsibilities
Develop, implement, and maintain compliance policies and procedures, and recommend opportunities for improvement
Design and conduct training on relevant topics
Keep apprised of developments in the regulatory environment, including industry best practices and initiatives, to implement updates to the compliance program
Assist in managing regulator inquiries, including conducting relevant research and formulating draft responses
Oversee the preparation and coordination of the firm’s annual compliance review and any regulatory examinations
Analyze information gathered through the firm’s surveillance systems to proactively identify potential issues
Assess internal workflows and reports, identifying and addressing opportunities to improve and/or automate practices
Monitor firm activity to identify regulatory filing requirements and prepare such filings
Provide guidance on compliance issues to employees as appropriate and collaborate with third-party providers/outside counsel
Qualifications
7 to 10 years of experience in the financial services space
Demonstrated knowledge of the Investment Advisors Act
Ability to work in-person in the firm’s Miami/NYC office 3 days per week
Strong preference for candidates with experience in roles with hedge funds and/or regulatory bodies
High level of professional discretion, capable of maintaining confidentiality in a role with visibility to privileged information
Energetic, detail-oriented, and highly organized, with a history of proactively pursuing additional responsibility
#J-18808-Ljbffr