Compliance Manager

Social Capital Resources; New York (NY); On-site; USD 120,000 - 180,000; Full time

Job summary

Social Capital Resources seeks a Compliance Manager to oversee day-to-day compliance at a fund in Midtown, Manhattan. The role involves administering the program under Rule 38a-1 and Rule 206(4)-7, and ensuring adherence to investment guidelines and pre-trade controls.

You will manage attestations, filings, and investor-side letter terms, with an emphasis on documented review and timely completion within a hedge-fund environment.

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 in a hedge fund or asset manager.
• Experience owning recurring compliance calendars with documented evidence of review.

Responsibilities

• Day-to-day administration of the compliance program under Rule 38a-1 and Rule 206(4)-7.
• Manage pre-trade compliance data, restricted lists, and investment guidelines adherence.
• Oversee quarterly attestations and personal employee trading controls.
• Ensure filings (e.g., 13H, Form PF, CFTC exemptions) are completed.
• Track investor requirements (side letters, SMA terms) and deadlines.
• Prepare annual compliance calendar and monitor deadlines.
• Oversee employee regulatory filings and preclearance requests.
• Distribute compliance notifications and trading-window alerts.

Skills

Regulatory compliance

Hedge funds

Policy enforcement

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.