Position Title: Vice President, Hedge Fund Compliance Officer
Job Level: Vice President
Location: USA - CT - Greenwich
Education Required: Refer to Position Description
Position Description: Absolute return strategy hedge fund managing $8.5 billion is seeking a compliance professional who will be responsible for regulatory and compliance issues relating to an SEC registered investment advisory firm and issues resulting from affiliation with a diversified global financial services firms.
Skills and Qualifications
• 5 to 7 years of compliance experience in asset management • Working knowledge of hedge funds, private investment fund structures and trading strategies, a plus • Strong knowledge of Investment Advisers Act, Securities Act, Exchange Act, ERISA, FINRA, CFTC • Knowledge of SFC, FSA, ISE and CIMA regulatory regimes, a plus • Highly analytical, solutions-oriented mindset and detail-oriented in identifying issues and providing sound and practical advice • Excellent oral and written communication skills • Strong leadership and relationship management skills
Skills Required: • Handle day to day trading issues, e.g., trade errors, cross trades, restricted lists • Oversee day to day monitoring procedures • Participate in the development of compliance program and forensic testing plans • Conduct in-house reviews to test compliance with policies and procedures and coordinate follow-up or improvements • Assist in drafting of new and revised policies and procedures • Implement compliance policies and procedures • Conduct compliance training
