Hedge Fund Compliance Manager (Pathway to CCO)

Atlantic Group; New York (NY); On-site; USD 200,000 - 225,000; Full time

Job summary

A leading firm in the finance sector is seeking a Hedge Fund Compliance Manager to manage and oversee compliance functions. This pivotal role supports the Chief Compliance Officer with regulatory monitoring, documentation, and employee compliance while ensuring adherence to laws and firm policies. Candidates must possess substantial experience in compliance within financial services, with a strong foundation in SEC and AML regulations. This position offers a competitive salary range reflective of the high-growth potential of the firm.

Qualifications

• Proven experience in compliance functions, particularly in financial services.
• Strong knowledge of SEC and AML regulations.
• Bachelor's degree or equivalent experience is preferred.

Responsibilities

• Support the Chief Compliance Officer with compliance functions.
• Maintain compliance records and regulatory filings.
• Oversee onboarding and offboarding processes with compliance focus.

Skills

Regulatory Monitoring

Documentation

Employee Compliance

Audit Assistance

Payroll Coordination

Education

Bachelor's Degree in Finance or Legal

Relevant Compliance Certifications

Job description

Hedge Fund Compliance Manager (Pathway to CCO)

Hedge Fund Compliance Manager (Pathway to CCO)

This range is provided by Atlantic Group. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$200,000.00/yr - $225,000.00/yr

A middle market private equity buyout firm with $1.6B commitments raised to date and currently raising a fourth fund. A Registered Investment Adviser (RIA) seeking an experienced compliance professional to manage its compliance function. This is a high growth position as they expand its fund offerings.

Role and responsibilities

• Support CCO: Assist the Chief Compliance Officer with day-to-day compliance functions, ensuring adherence to policies, reporting deadlines, and ongoing regulatory updates.
• Regulatory Monitoring & Reporting: Ensure the firm is in compliance with regulations (e.g., SEC, AML, Privacy Regulations, FINRA) and internal policies.
• Documentation & Recordkeeping: Maintain up-to-date compliance records, regulatory filings, and necessary documentation (e.g., Form ADV, compliance reports) and maintain ComplySci system.
• Employee Compliance: Ensure staff compliance on all regulatory matters and company policies, including ethical standards, securities reporting and attestations through ComplySci.
• Internal Compliance Reviews: Assist with periodic internal compliance audits, risk assessments, and monitoring of investment activities to ensure adherence to fund policies.
• Employee Onboarding & Offboarding: Oversee the onboarding process for new hires, following compliance procedures and firm requirements. Manage offboarding process. Assist CFO with employee term sheets, employment and separation agreements.
• Employee Records & Reporting: Maintain up-to-date employee files and records in compliance with company policies and legal requirements.
• Payroll and Benefits Administration: Coordinate with external PEO service provider to ensure timely and accurate payroll processing and maintenance of employee benefits program, including health insurance, retirement plans, and other perks.

#43461

Seniority level

• Seniority level

  Director

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

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