AVP - Compliance Officer (Hedge Fund)

Coda Search│Staffing; New York (NY); On-site; USD 100,000 - 130,000; Full time

Job summary

A leading staffing agency in New York seeks an AVP for their Alternative Investments Compliance Team. The role involves overseeing process improvements, reviewing marketing communications, and ensuring compliance with relevant regulations. Ideal candidates should possess a Bachelor’s degree and at least 3 years of experience in Compliance or Legal within the Asset Management sector. Strong analytical and communication skills are essential for working closely with various teams including Fund Marketing and Legal.

Qualifications

• Minimum 3+ years of Compliance or Legal experience in Asset Management.
• Ability to analyze and present data findings to management.
• Knowledge of Investment Company Act and FINRA Rules.

Responsibilities

• Oversee process improvement initiatives.
• Review sales communication and marketing literature.
• Monitor trading guidelines and communicate with business units.
• Assist with compliance inquiries from FINRA.
• Prepare investment presentations for management.

Skills

Data analysis and presentation

Oral and written communication

Intermediate to Advanced Microsoft Excel

Intermediate to Advanced Microsoft PowerPoint

Compliance knowledge

Education

Bachelor’s degree

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.