About this opportunity
Coda Search│Staffing lists this AVP - Compliance Officer (Hedge Fund) opportunity in new york, New York. Review the employer’s description below for duties, qualifications and application requirements.
Job description
One of our highly reputable Alternative Asset Management clients currently seeking to add an AVP to their growing
Alternative Investments Compliance Team. Ideal candidate will be working very closely with several Teams including but limited to Fund Marketing, Legal, Compliance, and Regulatory. Ideal candidate will be a pure Compliance generalist responsible for all facets of Trade Compliance/Surveillance, Regulatory, and ah-hoc compliance reviews related to Fund Operations.
Essential Functions
Oversee new initiatives targeting process improvement, and highlighting potential policies and procedures changes
Review and approve sales communication/marketing and advertising literature for fund
Assist with all matters under the: Investment Advisers Act of 1940; Securities Act of 1933; and Securities Exchange Act of 1934
Assist in researching and responding to comments and/or inquiries received from FINRA
Review and test personal trading activities for compliance with regulations and the Code of Ethics
Develop and implement effective methods and best practices for reviewing marketing communications.
Daily monitoring of Trading related guidelines and communicate necessary details to various business units including: Investment Team, Compliance, and Trading Operations
Revise all marketing materials and activities for compliance with regulatory requirements
Preparing investment related presentations for senior management and firm principals
Candidate will be responsible for identifying opportunities to centralize and optimize the processes to constantly improve overall group performance
Assist with special projects, as requested.
QUALIFICATIONS
Bachelor’s degree from an accredited college or university;
The candidate will have a demonstrated ability to analyze data and be able to present findings to the managerial level personnel.
Minimum 3+ years related professional (Compliance and/or Legal) experience (Asset Management/Hedge Fund/Private Equity/ Fund Administration or similar)
FINRA Licenses (7 & 24) not required
Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940 and FINRA Rules and Regulations.
Intermediate to Advanced Microsoft Excel/PowerPoint skills are required.
Effective oral and written communication skills and ability to listen effectively.
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Worksite address
new york, NY, 10261, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.