Job Description

Why Join Us:

• Privately-held, fast-growing and profitable company – progression opportunities as business grows
• Flexible and autonomous working culture with work / life balance
• Excellent compensation and benefits package

Responsibilities:

• Manage, develop and refine compliance function and processes in conjunction with General Counsel
• Preparation of regulatory reports (Section 13 filings, Form ADV, Form PF, etc.) to ensure all regulatory requirements are met
• Perform testing of policies and procedures to assess adherence and effectiveness and document the results in coordination with the firm’s compliance consultant
• Conduct electronic communication surveillance for compliance risks including MNPI, Code of Ethics obligations and other compliance issues
• Maintain the firm’s Restricted List and conduct trade surveillance related thereto and other compliance policies
• Review marketing materials (firm presentation, DDQ, investor letters, monthly performance report, etc.) to ensure adequate disclosures and support is maintained
• Administer the firm’s Code of Ethics, including the monitoring of all compliance reporting obligations and pre-clearance requests (employee personal trading, etc.)
• Update policies and procedures and training materials for regulatory developments, changes in business practices, and recommended improvements
• Draft periodic compliance communications to the firm and assist with compliance training
• Complete regulatory certifications, external requests for compliance information and other compliance program administrative duties, such as maintenance of all compliance records
• Interact with CEO, CIO and COO on various analyses, projects and initiatives
• Develop/document processes and procedures, identify enhancements and remedial actions and evolve the role to continuously adopt best practices and reduce risk

Requirements:

• Essential Education: Bachelor’s degree
• Demonstrable hands-on compliance experience at an SEC-Registered investment business and/or consulting firm or appropriate regulatory body
• Strong practical understanding of Investment Advisers Act of 1940

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