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.
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
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
Annual compliance training, Attestations, Questionnaires
New broker account review/ account opening
Trader/Employee onboarding, compliance orientation
External Manager onboarding, due diligence, annual due diligence review
Base compensation in the $125 to $150k range plus bonus potential.
Please email resumes to Jack@ComplianceSearch.com.