Description
We seek a motivated and dedicated compliance professional to join the compliance department in our Stamford, CT, office. This individual will ensure the effectiveness of the firm’s compliance program and enforce the firm’s policies and procedures to ensure compliance with SEC regulations and other legal obligations. This key leadership role will serve as a critical control function to mitigate risks and foster a culture of compliance. This individual will report directly to the Chief Compliance Officer.
Responsibilities include but are not limited to:
Develop, draft and maintain compliance policies and procedures
Create and deliver compliance training
Perform regular reviews and testing (daily, quarterly, annual) across all compliance areas
Construct/maintain compliance rules in Order Management System
Complete regulatory filings (Section 13, Form PF, Form ADV, etc.)
Review/approve marketing materials and RFPs to ensure compliance with the SEC Marketing Rule
Assist with regulatory examinations, audits and inquiries
Analyze new or amended laws, rules and regulations in order to formulate practical solutions for implementation to ensure compliance in all jurisdictions where the firm operates
Coordinate with internal stakeholders to ensure new business initiatives meet regulatory requirements
Assist with ad hoc projects and assignments
Requirements
Minimum 10 years of direct compliance experience at a registered investment adviser or hedge fund.
Solid knowledge of Investment Advisers Act of 1940, the Investment Company Act of 1940, SEC regulations and the standards relevant to registered investment advisers.
Solid knowledge of SEC rules, including the SEC Marketing Rule.
Excellent verbal and written communication skills.
Strong attention to detail and organizational abilities in a global context.
Ability to handle multiple tasks simultaneously and work in a fast-paced environment.
Exercise poise, integrity and discretion at all times.
