Purpose of the roleThis role sits in the Compliance team based in NY and to work as part of the team under the direction of the Head of Compliance. The Compliance team provides a second line of defense, their role includes providing oversight and guidance on the Firm's compliance with applicable rules, regulations and internal policies and procedures including working with other areas of the Firm to devise and maintain appropriate systems and controls for the Firm.
Specific Responsibilities:
Role will comprise many facets of compliance which may include- Perform required compliance functions in coordination with and under the direction of the Head of Compliance
- Assist with new product launches and client on-boarding
- Assist with drafting, periodic review and updates of Compliance policies and procedures
- Conduct regulatory analysis of new rules and existing rules and their impact across the Firm
- Assist with the development and delivery of compliance training
- Assist with the development and execution of the Compliance Monitoring Program
- Work with other team members in coordinating the annual compliance review across several RIAs
- Assistance with the resolution of compliance related matters
- Assist in the preparation of regulatory filings (Form ADV and other)
- Assist in the preparation of responses to regulatory questions and reviews
- Provide support on any other compliance related matters
- Work on ad hoc projects
- Responding to ad-hoc Compliance questions
Qualifications- A good foundation and strong understanding of the Investment Advisers Act of 1940, ERISA and NFA/CFTC requirements 5+ years of relevant experience (preferably at a hedge fund or large asset management firm)
- Strong working knowledge of the rules and requirements of the Investment Advisers Act of 1940, ERISA and NFA/CFTC
- Self-motivated with exceptional organizational, communication and interpersonal skills
- Ability to work in a busy environment and multi-task both in an independent, self-directed manner and also as part of a team
- Ability to navigate and learn new systems
The anticipated based salary range for this position is listed below. Compensation packages would also include benefits and a discretionary bonus. This is the base salary range that the Company believes it will pay for this position at the time of this posting based on the location and requirements of the position as well as the skills, qualifications, and experience of the applicant. The Firm reserves the right to modify this pay range at any time.
US Pay Range
$130,000-$150,000 USD
