Compliance Officer – Global Head of Compliance Risk Review, Monitoring and Exams (RRME) & Due D[...]

Schonfeld; New York (NY); On-site; USD 150,000 - 180,000; Full time

Job summary

An established industry player is searching for a Compliance Officer to lead their Risk Review, Monitoring, and Exams team. This pivotal role involves managing compliance risks, overseeing regulatory engagements, and developing internal controls to ensure adherence to regulations. You will collaborate with a global compliance team and contribute to strategic initiatives while managing a small team. The ideal candidate is detail-oriented, organized, and capable of thriving in a fast-paced environment. Join a dynamic organization that values teamwork, diversity, and continuous improvement, and make a significant impact in the compliance landscape.

Qualifications

• 5-7 years in regulatory compliance at a Hedge Fund or similar.
• Experience managing SEC RIA and NFA examinations.
• Strong communication and problem-solving skills.

Responsibilities

• Oversee regulatory engagements and compliance risk assessments.
• Develop internal controls and compliance review programs.
• Manage investor relations queries related to compliance.

Skills

Regulatory Compliance

Risk Assessment

Team Management

Problem Solving

Communication Skills

Attention to Detail

Project Management

Education

Bachelor's Degree

Tools

PowerPoint

Job description

Compliance Officer – Head of Compliance Risk Review, Monitoring and Exams (RRME) & Due Diligence

New York, New York, United States

The Role
We are seeking to hire an exceptional Compliance Officer to join our compliance team in our New York City office. The Compliance Officer will report into the Deputy Chief Compliance Officer and will lead the Risk Review, Monitoring and Exams (RRME) team in support of the overall global Compliance function. The position is responsible for managing the process by which key compliance risks are periodically identified and evaluated across business lines. The results of the risk assessments are used to drive the planning of the Compliance program and development of policies, procedures, and control enhancement initiatives to manage compliance risk throughout the organization. This will include the management of regulatory exams and inspections. The Compliance officer will also manage and lead a small team that will also cover compliance related due diligence activities and investor related workstreams. The ideal candidate will be highly self-motivated, organized, and attentive to detail. You should be capable of managing a diverse workload and prioritizing tasks in a fast-paced corporate environment. This position requires flexibility to support the wider compliance department with activities outside of the listed responsibilities.

What you’ll do

1. Oversee and execute the end-to-end process for regulatory engagements, including reviewing examination requests, advising internal stakeholders, and reviewing and obtaining approval for regulatory submissions.
2. Identify, escalate, and develop solutions for potential regulatory risks.
3. Develop and document internal controls.
4. Build reports and dashboards off compliance risk assessments.
5. Coordinate global requirements and deliver information requested by regulators.
6. Review compliance materials and other due diligence documentation provided by external managers, vendors, and research providers.
7. Development and execution of Compliance review program.
8. Marketing and Investor Relations:
   • Assist in the review of marketing materials to ensure compliance with regulatory requirements and internal policies.
   • Respond to and manage investor relations queries related to compliance matters.
   • Provide expert advice on jurisdictional marketing requirements and document this advice effectively.
9. Global Compliance Collaboration:
10. Work closely with the global compliance team on a wide range of Central Compliance matters.
11. Contribute to the development and implementation of global compliance strategies and initiatives.
12. Project Management:
13. Lead and support ad hoc projects as directed by Compliance Leadership.
14. Effectively manage multiple priorities and deadlines.

What you’ll bring

1. 5-7 years’ experience in regulatory compliance at a Hedge Fund Registered Investment Adviser.
2. Experience of successfully managing SEC RIA examinations, NFA examinations, or similar regulatory inspections.
3. Experience reviewing marketing materials, cross-border marketing rules and other Investor Relations matters.
4. Prior team management experience.
5. Highly self-motivated, organized, and attentive to detail.
6. Structured, methodical and consistent in execution.
7. Process oriented.
8. Adaptable and open to change, a natural problem solver and lateral thinker.
9. Calm and concise communicator, collaborative and able to engage well with staff of varying roles and seniority.
10. Firm and team first in thinking.
11. PowerPoint and other presentation materials creation skills.
12. An auditing, operational risk or similar background.

Who we areSchonfeld Strategic Advisors is a global multi-strategy, multi-manager investment platform that harnesses the transformative power of people to perform in all market environments. Our dynamic culture inspires better outcomes for our team, our investors, and our partners. We aim to consistently deliver risk-adjusted returns, with people driving performance.

We specialize in four core strategies: Quantitative Trading, Fundamental Equity, Tactical Trading, and Discretionary Macro & Fixed Income. We capitalize on inefficiencies and opportunities within the markets, drawing from a significant investment in proprietary technology, infrastructure, and risk analytics.

We invest through internal portfolio managers and external partner funds, pursuing alignment among investors, investment professionals, and the firm. Our footprint spans 7 countries and 19 offices.

Our CultureTalent is our strategy. We believe our success is because of our people, so putting our talent above all else is our top priority. We are teamwork-oriented, collaborative, and encourage ideas—at all levels—to be shared. As an organization committed to investing in our people, we provide learning & educational offerings and opportunities to make an impact.

We foster a sense of belonging among all of our employees with Diversity, Equity and Inclusion at the forefront of this mission. Our employees value diversity across identity, thought, people and perspective which serves as the foundation of our culture. As a firm, we are committed to creating a hiring process that is fair, welcoming and supportive.

The base pay for this role is expected to be between $150,000 and $180,000. The expected base pay range is based on information at the time this post was generated. This role may also be eligible for other forms of compensation such as a performance bonus and a competitive benefits package. Actual compensation for the successful candidate will be determined based on a variety of factors such as skills, qualifications, and experience.

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