Senior Compliance Associate

Our client, a global asset manager seeks a Compliance professional in a generalist role to add to its first in class program. Key responsibilities include: SEC Regulatory Filings, (Form ADV, PF,) Manage Code of Ethics Process Administer the Firm's Personal Trading compliance policies (Prior experience with Sungard Protegent PTA would be a plus). Administer 206(4)-7 annual review process The ideal candidate will have 3-5 years of direct investment management compliance experience at an SEC registered Investment Adviser, Hedge Fund, or Private Equity firm.

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