Hedge Fund Compliance Officer

Overview

• Lead compliance initiatives for a dynamic investment firm, ensuring adherence to regulatory standards and fostering ethical practices.
• Develop, implement, and maintain comprehensive compliance programs tailored to alternative asset management operations.
• Conduct compliance training sessions to educate employees on policies, procedures, and regulatory requirements.
• Collaborate with investment teams to provide expert compliance advice and support decision-making processes.
• Prepare and manage regulatory filings, ensuring timely and accurate submissions to authorities.
• Monitor and address conflicts of interest, ensuring transparency and ethical practices across operations.
• Oversee the firm's Code of Ethics, including approvals for personal trading and other compliance matters.
• Conduct compliance testing and audits to evaluate adherence to established guidelines and identify areas for improvement.

Key Responsibilities & Duties

• Draft and update compliance policies and procedures to align with evolving regulatory requirements.
• Prepare compliance reporting materials for quarterly and annual reviews, ensuring comprehensive documentation.
• Assist in preparing the annual 206(4)-7 review report, highlighting compliance program effectiveness.
• Review marketing materials and investor questionnaires to ensure compliance with industry standards.
• Monitor expert networks and calls, ensuring adherence to compliance protocols.
• Conduct compliance training for new hires and provide ongoing education to staff members.
• Advise on investment allocations, expenses, and valuation practices to ensure regulatory compliance.
• Support regulatory examination preparations, responding effectively to inquiries and audits.

Job Requirements

• Bachelor's degree in a relevant field; JD preferred for advanced legal expertise.
• 5-10 years of compliance experience in alternative investments, including private equity and credit.
• Proficiency in Microsoft Office Suite and compliance software applications.
• Thorough knowledge of Investment Advisers Act and Investment Company Act regulations.
• Strong organizational and project management skills with attention to detail.
• Excellent written and verbal communication skills for effective collaboration.
• Ability to work independently and within teams in a fast-paced environment.
• Experience with compliance testing, policy development, and regulatory filings.