Director of Compliance - Military veterans preferred

Job Title:

Director of Compliance

Firm Summary:

A SEC-registered investment adviser that employs an event-driven long/short equity investment strategy focused on the biotechnology sector. The firm launched in 2016 and invests in both the public and private markets on behalf of hedge funds and separate account clients.

Position Responsibilities:

Manage the firm’s compliance calendar and assist with preparation of regulatory reports (Section 13 filings, Form ADV, Form PF, etc.) to ensure all regulatory requirements are met

Perform testing of policies and procedures to assess adherence and effectiveness and document the results in coordination with the firm’s compliance consultant

Conduct electronic communication surveillance for compliance risks including MNPI, Code of Ethics obligations, and other compliance issues

Maintain the firm’s Restricted List and conduct trade surveillance related thereto and other compliance policies

Review marketing materials (firm presentation, DDQ, investor letters, monthly performance report, etc.) to ensure adequate disclosures and support is maintained

Administer the firm’s Code of Ethics, including the monitoring of all compliance reporting obligations and pre-clearance requests (employee personal trading, etc.)

Update policies and procedures and training materials for regulatory developments, changes in business practices, and recommended improvements

Draft periodic compliance communications to the firm and assist with compliance trainings

Complete regulatory certifications, external requests for compliance information and other compliance program administrative duties, such as maintenance of all compliance records

Interact with CEO, CIO and COO/CCO on various analyses, projects, and initiatives

Develop/document processes and procedures, identify enhancements and remedial actions and evolve the role to continuously adopt best practices and reduce risk

Qualifications:

Bachelor’s degree required

Minimum 3 to 5 years employment in a compliance role (strong preference for in-house experience at an RIA or compliance consulting firm working with hedge funds)

Strong knowledge of the Investment Advisers Act of 1940 and other rules and regulations applicable to investment advisers and private funds

Proficiency with Excel required; experience with Smarsh, My Compliance Office, and portfolio management systems beneficial

Superior written and verbal communication skills; exceptional attention to detail

Ability to spot issues, multi-task, work independently or collaboratively, and willingness to take ownership and accept any task that will benefit a growing organization

Excellent project management, organizational skills, work ethic, morals and integrity

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