Compliance Manager: Hedge Fund Regulations & Filings

Social Capital Resources; New York (NY); On-site; USD 110,000 - 150,000; Full time

Job summary

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.

Qualifications

• 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.

Responsibilities

• 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.

Skills

Pre-trade compliance

Portfolio data analysis

Regulatory calendars

Attestations & filings

Education

Bachelor's Degree

Job description

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.