HF/PE Compliance Officer

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

POSITION DESCRIPTION

Compliance Officer - Hedge Fund / Private Equity

About the Firm

A leading global private equity firm with more than $30 billion in assets under management.

Position Description

The compliance professional will be based in New York and will focus on regulatory and administrative compliance, principally under US rules and regulations relating to the Investment Advisers Act. Specifically, the compliance professional will assist with compliance functions relating to the firm's Code of Ethics and Personal Trading Policy and monitoring of employee personal trading utilizing compliance software systems, and will participate in various compliance monitoring and testing projects. The position will report to the Vice President - Compliance.

Qualifications

The ideal candidate will have two or more years of compliance or regulatory experience at a financial services or investment firm, with a working understanding of compliance principles and US regulatory framework.