Our client, a global asset manager seeks a Compliance professional in a generalist role to add to its first in class program.
Key responsibilities include:
SEC Regulatory Filings, (Form ADV, PF,)
Manage Code of Ethics Process
Administer the Firm's Personal Trading compliance policies (Prior experience with Sungard Protegent PTA would be a plus).
Administer 206(4)-7 annual review process
Trade Surveillance, Forensic Testing
The ideal candidate will have 3-5 years of direct investment management compliance experience at an SEC registered Investment Adviser, Hedge Fund, or Private Equity firm.
Bachelors Degree
