Position Title: Vice President, Hedge Fund Compliance Officer
Job Level: Vice President
Location: USA - CT - Greenwich
Education Required: Refer to Position Description
Position Description: Absolute return strategy hedge fund managing $8.5 billion is seeking a compliance professional who will be responsible for regulatory and compliance issues relating to an SEC registered investment advisory firm and issues resulting from affiliation with a diversified global financial services firms.
Skills and Qualifications
• 5 to 7 years of compliance experience in asset management • Working knowledge of hedge funds, private investment fund structures and trading strategies, a plus • Strong knowledge of Investment Advisers Act, Securities Act, Exchange Act, ERISA, FINRA, CFTC • Knowledge of SFC, FSA, ISE and CIMA regulatory regimes, a plus • Highly analytical, solutions-oriented mindset and detail-oriented in identifying issues and providing sound and practical advice • Excellent oral and written communication skills • Strong leadership and relationship management skills
Skills Required: • Handle day to day trading issues, e.g., trade errors, cross trades, restricted lists • Oversee day to day monitoring procedures • Participate in the development of compliance program and forensic testing plans • Conduct in-house reviews to test compliance with policies and procedures and coordinate follow-up or improvements • Assist in drafting of new and revised policies and procedures • Implement compliance policies and procedures • Conduct compliance training
A
trade automation, connectivity and compliance solution, the SunGard
Transaction Network (STN) links institutions throughout the financial
services community to facilitate end-to-end transaction processing.
With
more than 4,500 client firms in 60 countries managing more than $12
trillion, Advent has established itself as a leading provider of
mission-critical applications for investment management operations of
all sizes and strategies.
QUMAS
is a global compliance software company offering a complete Enterprise
Governance, Risk and Compliance solution with over 250 customer
deployments.
Belzberg
Technologies has been at the forefront of the electronic trading
evolution from the very beginning, and continues to provide world-class
service, execution and technology to the securities industry.
