Compliance Manager

Social Capital Resources; New York (NY); On-site; USD 110,000 - 160,000; Full time

Job summary

Social Capital Resources is seeking a Compliance Manager for a full-time role in Midtown Manhattan. You will oversee day-to-day administration of the compliance program under Rule 38a-1 and Rule 206(4)-7, and work with portfolio data to ensure pre-trade compliance with investment guidelines.

You will also manage quarterly attestations, employee trading disclosures, filings such as 13H, Form PF, and CFTC exemptions, and maintain investor-side requirements and the annual compliance calendar.

Qualifications

• Bachelor's Degree required.
• Working knowledge of the Investment Advisers Act, Investment Company Act, and Securities Exchange Act.
• 3-7 years of compliance experience at a hedge fund or asset manager.

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.

Skills

Investment compliance knowledge

Education

Bachelor's Degree

Job description

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.