- Work closely with the GC/CCO in drafting, maintaining, and implementing all compliance and conflicts of interest policies, including: the firm’s compliance manual, annual compliance review, and policies relating to code of ethics, personal trading, and expense and trade allocations.
- Completion of all SEC, NFA, and FCA regulatory filings with support from Back Office (i.e., ADV, PF, 13D-F-G-H, Form D, CPO PQR and PFS, GABRIEL filings, MiFID II, etc.)
- Conduct the firm’s compliance testing and monitoring activities, including the review of trading and portfolio management activity, forensic testing, various trade surveillance reports and electronic communications
- Provide real-time trading advice across all of the firm’s business units, and assess compliance/regulatory risk in the firm’s trading processes.
- Help organize the firm’s regulatory exams, mock exams, and regulatory/exchange inquiries.
- Assist with the firm’s Annual 206(4)-7 Compliance Review.
- Advise on domestic and foreign jurisdictional marketing efforts, including marketing materials and client onboarding compliance matters such as fund guidelines.
- Assist with the firm’s cybersecurity, BCP, privacy, MiFID II, and GDPR initiatives.
- Oversee the firm’s Code of Ethics (i.e., personal trading policy, political contributions, etc.)
- Interpret and analyze the impact of change to relevant laws, regulations, and market infrastructure as it relates to compliance risk.
- Conduct employee compliance training.
- Provide strong compliance support and execution with respect to all critical ad-hoc projects.
- 4-7+ years relevant experience managing a global compliance program (fund experience preferred). JD degree preferred, but not required.
- Prior experience working in a compliance function with knowledge of the Advisors Act, CFTC Rules and Regulations, NFA Rules, and other global regulatory agencies.
- Knowledge of derivatives markets and familiarity with complex financial products is appreciated.
- Ability to work independently/under minimal supervision
- Displays a high level of professionalism, discretion and maintains confidentiality of all sensitive matters
- Excellent written communication skills with an aptitude for technology.
- Familiar working in a fast-paced, high-pressure environment with multiple deadlines.
- Ability to be available outside of normal business hours to keep resolve issues/keep processes moving forward if necessary.
- Strong ownership mentality with exceptional resourcefulness and drive for results.