Compliance Manager: Hedge Fund Oversight & Filings

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

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.