Overview

A mid-sized asset management firm that is built upon proprietary trading seeks a Compliance Officer (CCO).

Candidates should have prior Compliance experience with advisory firms, possess knowledge of SEC regulations, and familiarity with the requirements of a Registered Investment Advisor and private fund.

Having knowledge of futures/ futures registration requirements would be helpful. The individual will be responsible for maintaining and implementing the firm’s compliance program, supervising the firm’s conformance with policies, and keeping current on regulatory changes and updates.

This role is perfect for a person who has asset management, hedge fund, or alternative investments experience,  comfortable in a trading type environment, and excited at the chance to become a Chief Compliance Officer.

This is a hands-on role where you will be involved in an array of important matters. It offers high visibility to management, and business personell.

 

Responsibilities:

Maintenance/creation of policies and procedures

Regulatory Filings: 13H, 13F, Section 16 (as needed), etc.

ADV updates, Privacy Notice delivery

Marketing Material review, disclosure updates as needed

Best execution review

Firm trade reviews

Electronic communication review

Code of Ethics reviews: Personal trading pre-clearance, review against policy

Maintenance of restricted list

Allocation reviews

Reg M – Secondary participation pre-clearance/ review

Fund – Investor requests, due diligence requests, coordination with Fund Administrator, FATCA reports, Board meetings, etc.

Maintain Compliance Manual

Maintenance of exemptions/registration as required

LEI renewals

Annual compliance training, Attestations, Questionnaires

Vendor Reviews

New broker account review/ account opening

Trader/Employee onboarding, compliance orientation

Manage agreements

External Manager onboarding, due diligence, annual due diligence review

Light HR

Ad-hoc projects

 

Base compensation in the $125 to $150k range plus bonus potential.

 

Please email resumes to Jack@ComplianceSearch.com.

 

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