Key Duties and Responsibilities:
Assist with annual compliance review, preparation of annual report on policies and procedures
Develop, review and revise policies and procedures
Assist with employee compliance training and development and new hire onboarding
Assist with preparation of information and coordination for SEC and NFA examination
Assist with regulatory filings and internal controls requests (e.g. ADV, PF‐PQR, and other state and federal filings,
SOC, annual audit).
Perform periodic back‐testing of policies (e.g., Allocation Policy, Valuation Policy, Code of Ethics, Compliance
Manual, etc.)
Perform required annual diligence on administrator anti‐money laundering procedures
Ongoing preparation and maintenance of committee and board meeting minutes
Assist with compliance surveillance (e.g., email surveillance, political contributions pre-clearances, personal trading pre-clearances, etc.)
Lead or assist in special projects
Requirements:
Bachelor’s degree in a related field
Two to five years of compliance experience at an investment management firm, financial institution, orconsultancy supporting hedge, private equity, or investment management firm.
Knowledge of regulatory requirements applicable to US investment managers, particularly the Advisers Act.
o NFA and/or FINRA knowledge a plus
Basic understanding of monitoring conflicts, securities laws applicable to insider trading and market abuse
Background or knowledge of relevant investment strategies a plus (equities, commodities, structured credit)
Demonstrated ability to maintain strict confidentiality of the firm's internal and personnel affairs.
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