Compliance Officer Jobs

A hedge fund in New York City is actively seeking an organized and diligent professional to join their staff as their new Compliance Officer. In this role, the Compliance Officer will focus on SEC and other regulatory compliance matters for the fund.

Responsibilities

The Compliance Officer will be responsible for:

• Maintaining various compliance logs and checklists
• Assisting with maintenance and organization of compliance books and records and trading agreements
• Assisting with other compliance related projects as needed
• Assisting in preparation and submission of certain regulatory filings, including certain non-US compliance related filings
• Maintenance of corporate governance documents and corporate life (LPAs, Resolutions, Board papers etc.)
• Monitoring compliance with the firm’s Code of Ethics, including those in respect of personal trading, political contributions, outside business activities, and gifts and entertainment
• Responding to various KYC and documentary due diligence requests
• Preparing various documents and obtaining signatures and approvals

Qualifications

• Detail-oriented
• Strong communication and interpersonal skills
• Undergraduate degree
• Ability to plan and prioritize assignments and to meet critical and established deadlines
• 2+ years of regulatory compliance experience with a financial institution / investment management firm or a regulator
• General knowledge of regulatory requirements applicable to US investment managers, including the Investment Advisers Act
• Exceptional organizational skills
• Ability to manage multiple assignments and transactions simultaneously