Compliance Manager – Hedge Fund & Asset Manager

Social Capital Resources; New York (NY); On-site; USD 100,000 - 150,000; Full time

Job summary

Social Capital Resources in Midtown, Manhattan is seeking a Compliance Manager for a full-time position. The role oversees day-to-day administration of the compliance program under Rule 38a-1 and Rule 206(4)-7, with a focus on pre-trade compliance using portfolio data, and adherence to investment guidelines as per the PPM and SMA terms.

Responsibilities include quarterly attestations, personal employee trading, annual calendar preparation, and processing filings (13H, Form PF, CFTC exemptions).

Qualifications

• Bachelor's degree required.
• Working knowledge of the Investment Advisers Act, Investment Company Act, and Securities Exchange Act.
• 3-7 years experience in compliance at a hedge fund or asset manager.
• Experience owning recurring compliance calendars and documenting reviews.

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 pre-trade compliance and adherence to investment guidelines.
• Manage quarterly attestations, personal employee trading, and investor-related requirements.
• Ensure filings such as 13H, Form PF, and CFTC exemptions are completed.
• Inventory and track investor requirements (side letter terms, SMA terms, etc.).
• Prepare the annual compliance calendar and monitor deadlines.
• Manage employee regulatory filings, disclosures, and preclearance requests.
• Distribute compliance notifications and trading window alerts, with timely reminders.

Education

Bachelor's Degree

Job description

Social Capital Resources in Midtown, Manhattan is seeking a Compliance Manager for a full-time position. The role oversees day-to-day administration of the compliance program under Rule 38a-1 and Rule 206(4)-7, with a focus on pre-trade compliance using portfolio data, and adherence to investment guidelines as per the PPM and SMA terms.

Responsibilities include quarterly attestations, personal employee trading, annual calendar preparation, and processing filings (13H, Form PF, CFTC exemptions).