Compliance Manager

Social Capital Resources; New York (NY); In loco; USD 110.000 - 150.000; Tempo pieno

Descrizione del lavoro

Social Capital Resources is seeking a Compliance Manager for a full-time role in Midtown, Manhattan. The position involves administering the compliance program under Rule 38a-1 and Rule 206(4)-7 and coordinating portfolio data to ensure pre-trade compliance with investment guidelines.

The ideal candidate has 3–7 years of experience in compliance at a hedge fund or asset manager and can own recurring compliance calendars with evidence of review and completion.

Competenze

• Bachelor's degree required.
• 3-7 years experience in compliance at a hedge fund or asset manager.
• Familiarity with Investment Advisers Act, Investment Company Act and Securities Exchange Act.
• Ability to own recurring compliance calendars with documented review.

Mansioni

• Administers the compliance program on a day-to-day basis under Rule 38a-1 and Rule 206(4)-7.
• Works with portfolio data to ensure pre-trade compliance with restricted lists and investment guidelines.
• Manages quarterly attestations and personal employee trading oversight.
• Ensures timely filings such as 13H, Form PF, and CFTC exemptions.
• Tracks investor requirements (side letters, SMA terms) for adherence.
• Prepares the annual compliance calendar and tracks deadlines.
• Manages employee regulatory filings, disclosures, and preclearance requests.
• Distributes compliance notifications, trading window alerts, and restricted lists reminders.

Conoscenze

Pre-trade compliance

Portfolio data analysis

Regulatory calendars

Attestations & filings

Formazione

Bachelor's Degree

Descrizione del lavoro

Fund in Midtown, Manhattan is seeking a Compliance Manager for a full-time position!

Responsibilities:

• Day-to-day administration of the compliance program under Rule 38a-1 and Rule 206(4)-7
• Proficient in working with portfolio data to ensure proper pre-trade compliance (restricted list, adherence to investment guidelines as per the PPM, SMA terms)
• Manage all other compliance requirements such as quarterly attestations, personal employee trading
• Ensure all necessary filings are made (13H, Form PF, CFTC exemptions, etc.)
• Inventory and track for adherence to any investor requirements (side letter terms, SMA terms, etc.)
• Prepare the annual compliance calendar and monitor adherence to all deadlines.
• Manage employee regulatory filings, disclosures, and preclearance requests
• Distribute compliance notifications, including trading window alerts and restricted lists, and issue additional reminders as needed.

Qualifications:

• Bachelor's Degree
• Working knowledge of the Investment Advisers Act, Investment Company Act, and Securities Exchange Act
• 3-7 years experience working in compliance at a hedge fund or asset manager
• Experience with owning recurring compliance calendars and close items with documented evidence of review and completion.