Fractional Compliance Manager

Remotedxb; Dubai; On-site; AED 350,000 - 550,000; Full time

Job summary

Arootah is seeking a seasoned Compliance leader to guide clients on regulatory programs and oversee risk management for hedge funds and family offices. The role focuses on developing monthly action plans, implementing controls, and ensuring SEC-adjacent compliance expectations are met.

The ideal candidate has a law/finance background, 5+ years in compliance, and 3+ years in a director-level role. Strong regulator relations and advanced MS Office skills are essential for success.

Qualifications

• Bachelor's degree in law, finance, or business administration.
• 5+ years of compliance experience.
• 3+ years as a Director/Compliance Manager at a Hedge Fund or Family Office.
• Solid experience with Federal securities laws (Investment Company Act of 1940, Investment Advisers Act of 1940).
• Demonstrated experience managing relationships with regulators.
• Advanced Microsoft Office Suite skills.

Responsibilities

• Provide advice and guidance to clients regarding Compliance programs.
• Develop monthly action plans and actionable steps.
• Implement policies, procedures, and control measures.
• Perform independent risk management routines to align with SEC expectations.
• Manage regulatory requirements for NFA/CFTC registered Commodity Pools.
• Draft and update Code of Ethics and Compliance Manuals.
• Create and maintain Form ADV, Parts 1 and 2 and periodic regulatory filings.
• Oversee internal controls relating to insider trading and material nonpublic information.
• Facilitate annual regulatory risk assessments and provide recommendations.
• Develop and oversee annual compliance testing.

Skills

Microsoft Office

Regulatory risk management

Education

Bachelor's Degree in Law, Finance, or Business Administration

MBA

Juris Doctor

MS in Law

Job description

About the Company

Arootah is a talent solutions firm purpose-built for the alternative investment industry. We advise and we execute, covering the full talent spectrum from entry to exit across five services: Talent Acquisition, Fractional Leadership, Talent Development, Retention & Compensation, and Transition.

Responsibilities

• Provide advice and guidance to clients regarding Compliance programs
• Develop realistic and effective monthly action plans and actionable steps
• Implement policies, procedures, and control measures
• Perform independent risk management routines to align with SEC expectations
• Manage regulatory requirements for NFA/CFTC registered Commodity Pools
• Draft and update Code of Ethics and Compliance Manuals
• Create and maintain Form ADV, Parts 1 and 2 and periodic regulatory filings
• Oversee internal controls relating to insider trading and material nonpublic information
• Facilitate annual regulatory risk assessments and provide recommendations
• Develop and oversee annual compliance testing

Requirements

• Minimum of Bachelor's Degree in Law, Finance, or Business Administration
• 5+ years of compliance experience
• 3+ years as a Director of Compliance, Compliance Manager, or similar level at a Hedge Fund or Family Office
• Solid experience with Federal securities laws (Investment Company Act of 1940, Investment Advisers Act of 1940, etc.)
• Demonstrated experience managing relationships with regulators
• Advanced Microsoft Office Suite skills

Preferred Qualifications

• MBA, Juris Doctor, M.S. in Law, or Legal Studies
• Certified Compliance & Ethics Professional (CCEP) certification
• Certified Internal Auditor certification