This job ad has been posted over 40 days ago...
Hedge Fund Compliance Associate
at The Compliance Search Group in New York, NY
Our client, a well respected quant driven fund seeks a Compliance Associate.
Responsibilities will include: liaising with business partners as well as legal and outside consultants to identify and mitigate compliance risks; analyzing the effect of new business initiatives and investment products on the compliance program; fielding inquiries from employees and management on compliance matters; initiating trainings and drafting training materials; facilitating an annual review of compliance policies; assisting in preparing for and responding to inquiries and audits from regulatory authorities; supporting the drafting and maintenance of compliance policies and procedures; and assisting in the development of regulatory reporting and regulatory filings. In addition to conducting forensic tests in several key compliance areas for a registered investment adviser, you will monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments.
Qualified candidates will have: 3-5 years of experience as a compliance professional at a mid- or large-sized investment advisory firm/hedge fund that is registered with the SEC and has preferably been through at least one SEC audit; a solid understanding of regulatory/self-regulatory agencies (e.g., FINRA, NYSE, FSA, CFTC) and the requirements of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Securities Act of 1933; a bachelor’s degree from a top university; outstanding organizational and communication skills; and comfort interacting with business professionals and applicable regulators. Experience at a quantitative or systematic hedge fund is a plus, as is prior work done at a regulator.
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
Jack Kelly | Managing Director | The Compliance Search Group
Direct: 212 997 3166 | Email: jkelly@ComplianceSearch.com
1001 Avenue of the Americas 24th floor, New York, NY 10018
Website: www.ComplianceSearch.com and www.CompliancEX.com
Compliance | Legal | Regulatory | Accounting | Audit | Risk Management | Operational Risk I Counterparty Credit | Financial Controls
Responsibilities will include: liaising with business partners as well as legal and outside consultants to identify and mitigate compliance risks; analyzing the effect of new business initiatives and investment products on the compliance program; fielding inquiries from employees and management on compliance matters; initiating trainings and drafting training materials; facilitating an annual review of compliance policies; assisting in preparing for and responding to inquiries and audits from regulatory authorities; supporting the drafting and maintenance of compliance policies and procedures; and assisting in the development of regulatory reporting and regulatory filings. In addition to conducting forensic tests in several key compliance areas for a registered investment adviser, you will monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments.
Qualified candidates will have: 3-5 years of experience as a compliance professional at a mid- or large-sized investment advisory firm/hedge fund that is registered with the SEC and has preferably been through at least one SEC audit; a solid understanding of regulatory/self-regulatory agencies (e.g., FINRA, NYSE, FSA, CFTC) and the requirements of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Securities Act of 1933; a bachelor’s degree from a top university; outstanding organizational and communication skills; and comfort interacting with business professionals and applicable regulators. Experience at a quantitative or systematic hedge fund is a plus, as is prior work done at a regulator.
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
Jack Kelly | Managing Director | The Compliance Search Group
Direct: 212 997 3166 | Email: jkelly@ComplianceSearch.com
1001 Avenue of the Americas 24th floor, New York, NY 10018
Website: www.ComplianceSearch.com and www.CompliancEX.com
Compliance | Legal | Regulatory | Accounting | Audit | Risk Management | Operational Risk I Counterparty Credit | Financial Controls
Published at 13-04-2010
Viewed: 31 times
Viewed: 31 times