Compliance Manager/ Deputy CCO

Greenwich, CT

Job Description

  • Maintain and update policies and procedures, perform and supervise scheduled forensic testing as it relates to the firm’s compliance monitoring program; stay up-to-date with ongoing regulatory developments and regulatory changes in applicable law and regulations with the ability to advise on those regulatory changes   
  • Review marketing materials, firm responses to investor due diligence requests and other compliance-related items; prepare and conduct trainings   
  • Interface with external service providers addressing any issues as necessary and conducting diligence on alternative data service providers; advise the firm’s business leaders on compliance issues (Code of Ethics, personal trading, insider trading, AML/KYC, etc.)   
  • Oversee the firm’s compliance calendar and perform numerous regulatory filings;  manage all responses to regulatory requests.   
  • Work closely with outside counsel on legal matters and outside compliance consultants   



  • A bachelor’s degree and 5-8+ years of relevant work experience preferably with a hedge fund; acute attention to detail and process orientation   
  • Strong Educational Background preferred   
  • Understanding of Advisers Act of 1940, ETF and Mutual Funds  
  • NFA/CFTC experience preferred  
  • Ability to manage several projects and appropriately deal with individuals at all organizational levels in various roles; self-motivated individual with impeccable time management skills, solid written and verbal communication skills   
  • Strong communication skills (verbal and written)   
  • Strong work ethic and intensive attention to detail   
  • In-depth knowledge of the US regulatory system as well as markets where the firm operates  

Hedge Fund


$175,000 - $200,000

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