SEC Governance Compliance Officer

Danos Group; New York (NY); On-site; USD 120,000 - 150,000; Full time

Job summary

An established industry player is seeking a skilled Compliance Officer to oversee daily compliance operations and support regulatory initiatives. This role involves leading the U.S. Code of Ethics responsibilities, coordinating regulatory reporting processes, and ensuring compliance with SEC regulations. The ideal candidate will have a strong background in compliance, particularly within asset management or hedge funds, and possess a thorough understanding of the U.S. Investment Advisers Act. Join a dynamic team where your expertise will contribute significantly to the firm's governance and compliance framework.

Qualifications

• 5+ years in compliance or trading operations, preferably in asset management.
• Strong knowledge of regulatory frameworks and compliance requirements.

Responsibilities

• Lead U.S. Code of Ethics responsibilities including onboarding training.
• Coordinate regulatory reporting processes and implement program updates.

Skills

Compliance Management

Regulatory Reporting

U.S. Investment Advisers Act knowledge

Communication Skills

Education

Bachelor's Degree

JD, CFA, MBA, CPA

Job description

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Our client, a global hedge fund, is looking to hire a generalist compliance officer to assist on the day-to-day compliance program and to support the SEC governance/regulatory reporting initiative.

Responsibilities:

• Lead U.S. Code of Ethics responsibilities, including onboarding training, approvals for gifts, political donations, and personal trades.
• Coordinate regulatory reporting processes and implement program updates driven by product expansion or regulatory change.
• Meet regulatory reporting requirements and deadlines for Form ADV, Form PF, and NFA filings.
• Respond to regulatory inquiries and act as a liaison to regulators

Requirements

• Minimum of five years in a compliance or trading operations capacity, preferably within asset management or hedge funds.
• Strong knowledge of the U.S. Investment Advisers Act of 1940 and understanding of global regulatory frameworks.
• Holds a bachelor's degree; advanced qualifications (JD, CFA, MBA, CPA) are a plus but not required.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance, Accounting/Auditing, and Legal

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