Deputy Chief Compliance Officer
Salary $200,000 - $300,000 per year
Location New York, NY, USA
Consultant Lucky Nguyen
JobRef 123292/0012019-10-25 2019-12-24 financial-services permanent US New York City New York 10036 USD 200000 300000 300000 YEAR Robert Walters https://www.robertwalters-usa.com https://www.robertwalters-usa.com/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
A renowned hedge fund is looking to recuirt a number 2 position to work alongside the Chief Compliance Officer in managing the compliance program.
This senior role will be responsible for managing the firm’s U.S. compliance program pursuant to Investment Advisers Act Rule 206(4)-7 and Investment Company Act Rule 38a-1. This position will be overseeing the firm’s policies relating to, without limitation, personal trading, regulatory reporting, guideline monitoring, best execution, marketing compliance, anti-money laundering, subadvisory services and broker-dealer activities. The Deputy CCO will help manage compliance reviews and examinations, and will assist the CCO in setting the strategic direction for the firm’s overall compliance efforts.
- At least 10 years of hands-on experience with relevant laws and regulations, gained through work at investment advisers or law firms. Experience working for a regulatory agency is preferred but not required.
- Working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934 and their respective regulations, is a must.
- Familiarity with the full range of modern asset management products and services preferably within the hedge fund space.
- The ability to collaborate with and advise a diverse set of individuals and constituencies, including senior management.
- The ability to identify issues and make reasoned decisions in a fast-paced environment.
- The ability to communicate clearly, with experience making presentations to clients and senior management.