Job Summary

• Provide compliance support to ensure the firm’s compliance programs are implemented, maintained and enforced in accordance with applicable rules and regulations.
• Conduct various day-to-day compliance surveillance activities including Code of Ethics and Code of Conduct supervision and enforcement.
• Assist with the firm’s regulatory filings and information/document requests from regulators, auditors, and compliance consultants.

Matching Summary

Salary

Base: $125,000 - $165,000; Bonus/Equity: Discretionary bonus eligible; Benefits: Generous employee benefits package

Skills & Requirements

Key Requirements

• Minimum 8 years of registered investment adviser and/or hedge fund legal or compliance experience
• Knowledge of investment advisory and commodity trading advisory services
• Knowledge of the Investment Advisers Act, Investment Company Act, SEC and CFTC/NFA regulations
• Attention to detail and organizational skills
• Strong research, analytical and problem-solving skills
• Ability to work independently and in a team environment
• Excellent written and oral communication skills

Work Rights