Dual role opportunity that encompasses management of compliance policies with a particular focus on regulatory and legal side, control of company finances, and CEO assistance. You will work with other members to execute an institutional strength compliance program consistent with leading industry standards and to strengthen operations and finance practices. This position represents an exciting career growth opportunity in the investment field. Based on merit it can be converted to the CCO or Business Development Director role.
- Lead the internal Compliance program and support firm’s outsourced CCO. Ensure compliance with all regulatory requirements. Answer DDQs and present to clients in due diligence meetings
- Evaluate investment guidelines and supervise compliance reviews of portfolios. Ensure compliance with internal policies relating to best execution, trade allocation, etc.
- Provide legal reviews of contractual matters
- Oversee company’s finances, HR, client billing, and expenses. Find opportunities to improve operating efficiency, reduce costs, and mitigate operational risks
- Demonstrate leadership and influence through active participation. Develop a strategic operational direction, front and back office coordination. Identify best practices and ensure process consistency
- Assist CEO in planning, hiring, strategy execution, and developing a high performing culture
- MS, JD, MBA or equivalent in a related field is strongly preferred
- 2+ years of relevant experience with an investment manager, hedge fund or similar financial service provider
- Understanding of markets, trading, and settlement processes
- Knowledge of regulatory regime for clients subject to SEC, ERISA, Investment Company Act, the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, and other applicable laws
- Excellent organizational skills, ability to anticipate issues before they arise
- Proven communication, managerial, leadership, negotiation, and project management skills
- Tech savvy; ability to get up to speed quickly on new technologies and software
- Proactive, self-motivated, and enthusiastic individual with analytical skills, and attention to detail who will thrive in a fast-paced environment
Our promise is to maintain a friendly happy environment where members are valued and able to meet their full potential. We place a high value on initiative and professionalism.
Interested candidates
MUST contact
[email protected] with
ALL of the following
- Resume
- Cover letter addressing your interests and qualifications for the position
- U.S. working status
and include “Compliance manager” in the subject line. Applications over job websites are not considered.
