Compliance Manager in New York

Energy Jobline ZR; New York (NY); Sur place; USD 120 000 - 190 000; Plein temps

Résumé du poste

Energy Jobline ZR in New York, NY is seeking a Compliance Manager for a full-time position in Midtown Manhattan. The role covers day-to-day administration of the compliance program, pre-trade compliance, and regulatory filings across Rule 38a-1, Rule 206(4)-7, 13H, Form PF, and CFTC exemptions.

Responsibilities include managing investor requirements, quarterly attestations, personal trading controls, and maintaining an annual compliance calendar with timely reviews and reminders.

Qualifications

• Bachelor's Degree required.
• 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.

Responsabilités

• 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.

Formation

Bachelor's Degree

Description du poste

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.