Compliance Officer

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 strategiesServe as the most senior compliance professional based in the New York office, with meaningful exposure to senior decision-makersBroad responsibility across the compliance program with significant opportunity to expand the scope of the role over timeResponsibilities

Help oversee and support the firm’s U.S. compliance programProvide day-to-day compliance advice to investment and research professionalsParticipate in the annual Rule 206(4)-7 review, forensic testing and ongoing monitoringDraft, enhance and implement compliance policies and proceduresSupport all aspects of the Code of Ethics, including personal trading, gifts and entertainment, outside activities, conflicts and political contributionsMonitor regulatory developments and assist with implementation of applicable changesPrepare and review regulatory filings, including Form ADV, Form PF, 13F, 13H, Blue Sky, NFA/CFTC and FCA-related filingsReview marketing materials, presentations, newsletters and DDQsAssist with pre- and post-trade compliance reviewsMonitor side-letter and investment-management-agreement obligationsSupport regulatory examinations, compliance training and books and records requirementsConduct compliance due diligence on vendors, brokers, research providers and other third partiesInvestigate and escalate potential compliance issues and assist with other ad hoc mattersQualifications

Bachelor’s degree with a strong academic record5+ years of relevant compliance experience within a hedge fund, investment adviser, compliance consulting/vendor environment or regulatory organizationWorking knowledge of U.S. and U.K. securities regulationsFamiliarity with SEC, NFA, CFTC and relevant exchange requirementsStrong organizational, analytical and critical-thinking skillsProactive, detail-oriented and comfortable managing multiple prioritiesAbility to work independently while collaborating effectively across the organizationStrong project-management skills, professionalism and discretion