Compliance Officer

Compliance Officer

Requirements

• Undergraduate degree required; investment management and/or finance experience is a major plus, JD and experience working at a law firm is preferred
• 3-6 years of experience as a compliance professional or a lawyer within the financial services industry is advantageous
• Strong interest and willingness to develop expertise in regulatory and compliance matters in the alternative investment industry
• Excellent communication and interpersonal skills with the ability to exercise discretion and sound judgment with respect to highly confidential/sensitive information
• Demonstrated work ethic and time management skills to manage multiple projects with a strong sense of urgency
• Ability to adapt and thrive in a fast-paced, collaborative environment

Responsibilities

• Take a leading role in ongoing development and implementation of the Firm’s compliance program
• Ability to efficiently interact with other departments and senior management of the Firm
• Collaborate and engage with internal stakeholders to address compliance issues and mitigate risks
• Provide support across a variety of compliance initiatives including Code of Ethics, regulatory filings, cybersecurity, electronic communication surveillance, artificial intelligence, alternative data, trade surveillance, vendor due diligence, and updating and testing of compliance procedures, in conjunction with the Chief Compliance Officer
• Develop proficiency with the Firm’s suite of compliance tools including Bloomberg Vault, ComplySci, FundApps, and OneTick
• Develop subject matter excellence in ongoing regulatory developments and industry trends that are relevant to the Firm

Preferred Qualifications

• Experience in fundamental trading strategies, expert networks, capital markets and futures trading will be prioritized

Benefits

No information provided on Benefits.