Compliance Officer
Core
Perform compliance functions, coordinate with the CCO, and manage regulatory filings and monitoring for a global alternative investment firm.
Role type
Compliance Officer
Builds
Compliance programs, regulatory filings, and monitoring systems for investment strategies.
Domain
Alternative investment management / Financial regulation
Required skills
Investment Advisers Act of 1940 knowledge, ERISA expertise, NFA/CFTC requirements, regulatory filing preparation, compliance monitoring program execution, fund registration oversight, wall-cross analysis, Rule 105 understanding
Preferred skills
Hedge fund or large asset management firm experience, ability to navigate new systems, multi-tasking in busy environments
Technologies
NFA systems, SEC Form PF, Form ADV, Form 40
Responsibilities
Assist with Annual Compliance Review, coordinate responses to regulator inquiries, oversee NFA requirements, prepare regulatory filings, develop Compliance Monitoring Program, handle new account and fund onboarding, analyze wall-cross requests, monitor regulatory landscape changes
Seniority
Mid-level, hands-on IC