Job Description

Key Responsibilities:

1. Strategic Compliance Oversight: Develop and implement comprehensive compliance policies and procedures tailored to our unique investment strategies, ensuring adherence to all relevant laws, regulations, and industry best practices.
2. Risk Management Expertise: Assess and mitigate regulatory risks associated with our investment activities, providing proactive guidance to senior management and investment teams.
3. Regulatory Liaison: Serve as the primary point of contact for regulatory agencies, overseeing audits, examinations, and inquiries with professionalism and transparency.
4. Training and Education: Conduct regular compliance training sessions to cultivate a culture of compliance awareness throughout the organization, empowering employees to make informed decisions within regulatory boundaries.
5. Monitoring and Surveillance: Implement robust surveillance systems to monitor trading activities and detect potential compliance breaches, taking prompt corrective action when necessary.
6. Policy Advocacy: Stay abreast of evolving regulatory developments and industry trends, advocating for policy changes and enhancements to support our business objectives.

Qualifications:

• Bachelor's degree in finance, business, law, or related field; advanced degree and relevant certifications (e.g., CAMS, CFE, CSCP) preferred.
• Extensive experience (8+ years) in compliance roles within the financial services industry, with a focus on hedge funds or asset management.
• Strong understanding of SEC, FINRA, and other relevant regulatory frameworks governing investment management activities.
• Proven track record of developing and implementing effective compliance programs, ideally within a long and short equity investment environment.
• Excellent communication and interpersonal skills, with the ability to collaborate effectively across all levels of the organization.

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