Broad compliance role at a great hedge fund in NYC!
Job Detail
Job Description
Duties:
- Assist with annual compliance review, preparation of annual report on policies and procedures
- Develop, review and revise policies and procedures
- Assist with employee compliance training and development and new hire onboarding
- Assist with preparation of information and coordination for SEC and NFA examination
- Assist with regulatory filings and internal controls requests (e.g. ADV, PF‐PQR, and other state and federal filings,
- SOC, annual audit).
- Perform periodic back‐testing of policies (e.g., Allocation Policy, Valuation Policy, Code of Ethics, Compliance
- Manual, etc.)
- Perform required annual diligence on administrator anti‐money laundering procedures
- Ongoing preparation and maintenance of committee and board meeting minutes
- Assist with compliance surveillance (e.g., email surveillance, political contributions preclearances, personal
- trading preclearances, etc.)
- Lead or assist in special projects
Qualifications:
- Bachelor’s degree in relevant field required
- 2-5 years of Experience in buy side asset management compliance
- 1940 Act knowledge
- Experience in the financial services industry, with a focus on legal or compliance functions
- Demonstrated knowledge of regulatory requirements
- ShareAustin:
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