AVP, Hedge Fund Compliance & Trade Oversight

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

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.