Hedge Fund & PE Compliance Lead — NYC

Michael Tuller; New York (NY); On-site; USD 110,000 - 170,000; Full time

Job summary

Michael Tuller in New York seeks a Compliance Officer to oversee regulatory and administrative compliance under US rules, focusing on the Investment Advisers Act. The role includes Code of Ethics and Personal Trading Policy duties and monitoring employee personal trading with compliance software, plus various monitoring and testing projects.

The position reports to the Vice President - Compliance and requires a minimum of two years in financial services compliance or regulatory roles.

Qualifications

• Two or more years of compliance or regulatory experience at a financial services or investment firm.
• Working understanding of compliance principles.
• Familiarity with US regulatory framework.

Responsibilities

• Based in New York, focus on regulatory and administrative compliance under US rules.
• Assist with Code of Ethics and Personal Trading Policy compliance.
• Monitor employee personal trading using compliance software systems.
• Participate in compliance monitoring and testing projects.
• Report to the Vice President - Compliance.

Skills

Regulatory compliance

US regulatory framework

Job description

Michael Tuller in New York seeks a Compliance Officer to oversee regulatory and administrative compliance under US rules, focusing on the Investment Advisers Act. The role includes Code of Ethics and Personal Trading Policy duties and monitoring employee personal trading with compliance software, plus various monitoring and testing projects.

The position reports to the Vice President - Compliance and requires a minimum of two years in financial services compliance or regulatory roles.