Compliance Manager/ Deputy CCO

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   

Qualifications:   

• 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