Compliance Officer

About the role

Vice President (Compliance) at a New York-based asset manager (SEC registered investment adviser and CFTC registered CTA/CPO).

Responsibilities

• Provide compliance support to ensure firm’s compliance programs are implemented, maintained and enforced.
• Review pitch books, monthly reports, DDQs, RFPs and other marketing documents.
• Participate in investor operational due diligence.
• Conduct various day-to-day compliance surveillance activities including Code of Ethics and Code of Conduct supervision and enforcement, conflicts management, electronic communications reviews, best execution reviews, broker reviews, account list maintenance, and AML/OFAC due diligence reviews, etc.
• Prepare and submit various compliance reports to committees and headquarters as necessary.
• Manage and administer compliance trainings.
• Afford assistance to CCO with updating and maintaining policies and procedures as necessary including assisting in getting managerial approval of updated policies and distributing policies to staff.
• Afford assistance with the firm’s regulatory filings (Form ADV, Form PF, CPO-PQR, CTA-PR etc.).
• Afford assistance with information/document requests from regulators, auditors, and compliance consultants.
• Conduct service provider due diligence.
• Keep the firm current with new rules, regulations and other compliance requirements.

Qualifications

• Minimum 8 years of registered investment adviser and/or hedge fund legal or compliance experience.
• Knowledge of investment advisory and commodity trading advisory services and arrangements, and related regulatory requirements.
• Knowledge of the Investment Advisers Act, Investment Company Act, SEC and CFTC/NFA regulations.
• Attention to detail. Accurate and timely recordkeeping and organizational skills.
• Strong research, analytical and problem-solving skills.
• Proven ability to work well independently, with limited direct oversight, and in a team environment.
• Excellent written and oral communication skills in a diverse workspace.
• Organizational and time management skills; ability to prioritize and manage multiple projects.
• Knowledge of compliance systems, experience with ComplySci and ComplianceAlpha is a plus.
• Experience with quantitative strategies a plus.
• Work experience in a large financial group a plus.
• Knowledge of banking regulations a plus.
• Experience with performance calculations is a plus.