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Compliance Officer

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Company: Compliance Search Group

Location: San Francisco, CA

Date Posted: August 28, 2014

Source: TheLadders.com

Compliance Officer


A multi-billion dollar hedge fund seeks a Compliance Officer who will be responsible for performing required compliance functions in coordination and under the direction of the General Counsel and Chief Compliance Officer.

Responsibilities include:



  • Monitor compliance with policies and procedures.
  • Monitor Code of Ethics and personal securities trading/reporting.
  • Monitor gifts and entertainment and political contributions.
  • Monitor third party consultant and research analyst calls and maintain watch lists and restricted lists.
  • Monitor Email surveillance, Forensic testing and assist with the annual compliance reviews.
  • Assisting with regulatory examinations and inquiries and keep up to date on any regulatory changes.

Qualifications:



  • 5 plus years of investment adviser compliance experience in an all-encompassing compliance position within another hedge fund, compliance consulting firm, and/or applicable regulatory agency.
  • Strong college academic record - GPA.
  • Solid understanding of U.S. securities laws and of the investment adviser industry and strong written and interpersonal skills ...

Compliance Officer


A multi-billion dollar hedge fund seeks a Compliance Officer who will be responsible for performing required compliance functions in coordination and under the direction of the General Counsel and Chief Compliance Officer.

Responsibilities include:



  • Monitor compliance with policies and procedures.
  • Monitor Code of Ethics and personal securities trading/reporting.
  • Monitor gifts and entertainment and political contributions.
  • Monitor third party consultant and research analyst calls and maintain watch lists and restricted lists.
  • Monitor Email surveillance, Forensic testing and assist with the annual compliance reviews.
  • Assisting with regulatory examinations and inquiries and keep up to date on any regulatory changes.

Qualifications:



  • 5 plus years of investment adviser compliance experience in an all-encompassing compliance position within another hedge fund, compliance consulting firm, and/or applicable regulatory agency.
  • Strong college academic record - GPA.
  • Solid understanding of U.S. securities laws and of the investment adviser industry and strong written and interpersonal skills.



THE COMPLIANCE SEARCH GROUP, the leading and most trusted executive search firm in the nation specializing in the recruitment of Compliance, Legal, Regulatory, Risk Management, Dodd-Frank, Audit, Corp. Governance, Credit, Accounting, Tax and Finance. We have an unparalleled track record of placing hundreds of Compliance professionals ranging from staff levels to Chief Compliance Officers with the nation's top-tier firms.

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