Director of Compliance
Director of Compliance
Social Capital Resources
New York City Metropolitan Area
See who Social Capital Resources has hired for this role
Hedge Fund in Midtown, Manhattan is seeking a Director of Compliance! This candidate must have a JD.
Responsibilities:
- Interface with the compliance team, management, operations, or legal, as appropriate, to communicate, coordinate and resolve issues and respond to requests
- Counsel business associates on regulatory and compliance requirements
- Coordinate with the firm’s outside service providers to ensure regulatory filings are made timely and accurately.
- Update and file all required regulatory filings including, but not limited to ADVs and other periodic filings
- Update and amend Compliance Manual, Code of Ethics and other compliance policies and procedures.
- Conduct reviews and prepare reports on the investment adviser’s brokerage practices and best execution.
- Perform Annual Compliance Review, Risk Assessment Review, Employee Compliance Training and Marketing Materials Review
- Engage in special projects, initiatives, and other activities of an ad hoc nature.
Qualifications:
- In-depth knowledge of SEC and FINRA broker-dealer regulation and regulatory environment
- Strong experience with Investment Advisor laws
- JD is a must
- Familiarity within a regulatory, legal, compliance or business capacity
-
Seniority level
Mid-Senior level -
Employment type
Full-time -
Job function
Finance -
Industries
Investment Management
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See who you knowFeatured Benefits
Inferred from the description for this job
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Medical insurance -
Dental insurance -
Vision insurance -
401(k) -
Paid maternity leave -
Paid paternity leave -
Commuter benefits -
Disability insurance
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