A multi-billion dollar fund of hedge funds is currently looking to hire a Manager, US Compliance who will oversee a team of compliance professionals responsible for the US Compliance Program. 5+ years of asset management / hedge fund compliance experience including management responsibilities is required.
Responsibilities:
Oversee and manage the U.S. compliance function, including managing full time professionals
Oversee and manage the Compliance Program (including oversight of firm-wide compliance with the Personal Securities Trading Policy as well as the Compliance Manual)
Administer Compliance training to the staff (in-person and written)
Oversee the successful operation of the AML program (including signoff on investor subscription agreements)
Liaise with Risk and Compliance staff on various projects
CCO for Registered Fund
Oversee and manage the licensing of salespeople and FINRA compliance for non-supervisory branch offices
Ensure timely filings and compliance with regulatory requirements
Review fund and client account activity to detect any potential compliance issues
Oversee and manage regulatory exams as well as periodic internal audits
Advise management and staff of potential issues and provide alternative solutions
Oversee and manage the approval process for new products and marketing, advertising, and communications materials to ensure compliance with regulatory requirements
Prepare documentation and respond to internal and/or external compliance questions
Requirements:
5+ years of compliance experience in the asset management and / or hedge fund industry including strong, proven managerial experience
