Compliance Officer

New Job: Compliance Officer (New York, NY): Our client, a 10b Hedge Fund located in NYC is seeking a Compliance Officer to join their lean, but growing team legal and compliance team. This hire will report directly to the US Compliance Officer but assist the CCO and global team across all aspects of the compliance program. This is an excellent opportunity to join one of the best performing hedge funds in a generalist capacity, while gaining exposure to senior management.

Key Points:

• Hedge Fund that has been around for over 10 years
• Performance is very strong
• Roughly 150 employees globally
• Offices around the world
• NYC office has 4 people on the legal and compliance team
• WFH: 4 days in office and 1 day from home

Responsibilities:

• Assist with MNPI, inside information daily trade and surveillance monitoring and trading/ investment/trading compliance matters, such as expert network monitoring, meetings/call with plc companies, and alternative data providers
• Assist with KYC process with alternative data providers, independent research providers, and counterparties
• Assisting and conducting vendor due diligence and monitoring, including adherence to data protection rules and cyber security best practices
• Prepare responses to AML/KYC requests; assist with onboarding new counterparties (eg. brokers, Prime Brokers)
• Review prospective employee background screenings and ongoing reviews (eg. social media reviews)
• Assist with US regulatory filings and registrations with regulators
• Any additional wider Compliance experience is advantageous and preferred.

Qualifications:

• 2+ years of relevant experience at a hedge fund, investment firm, bank, or regulatory body
• Knowledge of Equities, Fixed income, commodities, and exchange traded derivative products as well as understanding of market abuse regulations and potential market abuse related scenarios
• Knowledge of SEC/CFTC rules and regulations, and awareness of FCA and other global regulatory rules is advantageous
• Must demonstrate accuracy and attention to detail
• Strong written and verbal communication skills
• It is vital that the right individual can work pro-actively, independently, adding value and contributing to the team, and a strong self-starter
• The right candidate should also be able to work well as part of a team
• Strong communication skills and willingness to work with all employees and partners
• Able to work in a fast paced, constantly changing environment, and prioritize work accordingly – organization skills and prioritization are key
• Highly driven, can-do attitude, motivated and has the gravitas to succeed