Compliance Operations Manager

Universa Investments L.P.; Fort Lauderdale (FL); Sur place; USD 110 000 - 170 000; Plein temps

Résumé du poste

Universa Investments L.P. is seeking a Compliance Manager to oversee the day-to-day operation of the firm's compliance program under the direction of the Chief Compliance Officer.

The role emphasizes execution, monitoring, documentation, and regulatory filing with final policy decisions resting with the CCO. The candidate will manage trade- and client-related compliance tasks, maintain regulatory calendars, and coordinate independent testing, analytics, and filings to support robust, compliant

Qualifications

• Bachelor's degree required; regulatory-compliance certifications (e.g., NSCP programs) preferred.
• Working knowledge of the Investment Advisers Act and its related rules, and of NFA Membership Rules.
• Minimum of 4-7 years of compliance or related experience in the financial industry, ideally with an investment adviser or private fund manager.
• Experience preparing regulatory filings (e.g., Form ADV, Form PF, Form PQR) and maintaining compliance books and records.
• Strong organizational skills and attention to detail; ability to manage a compliance calendar and competing deadlines.
• Excellent writing, research, and analytical skills; sound judgment about when to act independently and when to elevate.
• Highest ethical standards, professional integrity, and discretion.

Responsabilités

• Monitor and ensure day-to-day compliance with the firm's policies and procedures, fund governing documents, investor agreements, and other agreements; flag exceptions to the CCO.
• Perform internal reviews and forensic testing to confirm program effectiveness and identify weaknesses; prepare review schedules and escalate items.
• Monitor and log client registrations; escalate changes or concerns to the CCO.
• Lead the annual compliance-program review process under Rule 206(4)-7; prepare the draft review with data.
• Administer employee personal-trading pre-clearance and related checks; escalate to the CCO for approval.
• Collect Holdings Reports and quarterly Certificates of Compliance; manage account intake and broker statements.
• Review employee non-discretionary accounts; act as backup to the CCO when unavailable.
• Monitor personal securities trading, political contributions, outside activities, gifts; maintain logs and flag conflicts.

Connaissances

Regulatory compliance

Form ADV filings

NFA Rules

Investment Advisers Act

Policy development

Attention to detail

Written communication

Formation

Bachelor's degree

Description du poste

Universa Investments L.P. is seeking a Compliance Manager to oversee the day-to-day operation of the firm's compliance program under the direction of the Chief Compliance Officer.

The role emphasizes execution, monitoring, documentation, and regulatory filing with final policy decisions resting with the CCO. The candidate will manage trade- and client-related compliance tasks, maintain regulatory calendars, and coordinate independent testing, analytics, and filings to support robust, compliant