Description:
A credit market neutral hedge fund based in New York is looking to hire a Compliance Manager with 5+ years of compliance experience within the hedge fund / investment management industry. The Compliance Manager will support development and execution of the fund’s compliance program in line with the Investment Advisers Act of 1940 and other applicable regulations. The Compliance Manager will report directly to the Chief Compliance Officer and work closely with Counsel, Compliance Advisors, Trade Operations, Portfolio Management and Investor Relations to support the execution and ongoing enhancement of the firm’s compliance program and regulatory obligations on a day to day basis. The Compliance Manager will also oversee all aspects of the counterparty onboarding and due diligence processes as well. The ideal candidate is a detail-oriented compliance professional with experience supporting SEC-registered investment advisers or private funds, who communicates clearly and thrives in a fast-paced, collaborative environment.
Responsibilities:
• Support the execution and oversight the fund's compliance program in line with the Investment Advisers Act of 1940 and other applicable regulations
• Maintain, periodically review, and update written compliance policies and procedures and the Code of Ethics
• Conduct ongoing compliance monitoring, risk assessments, and testing covering credit and credit-derivative trading activity, portfolio exposures, valuation practices to identify, assess, and mitigate regulatory risks
• Prepare, review, and coordinate regulatory filings, including Form ADV and Form PF, with a focus on credit strategies and private fund reporting requirements
• Review marketing materials and investor communications, including presentations and factsheets, for compliance with the SEC Marketing Rule
• Oversee administration and monitoring of the Code of Ethics, including personal trading, gifts, and entertainment reporting
• Assist with regulatory exams, audits, and inquiries; coordinate with external consultants and counsel
• Support with onboarding of counterparties, service providers, and trading relationships, coordinating with compliance, legal, operations, and external parties as needed
Requirements:
• 5 - 10+ years of compliance experience within the investment management / hedge fund industry at an SEC-registered investment advisor
• Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
• Experience preparing and supporting regulatory filings and managing compliance workflows
• Familiarity with private fund compliance, including Codes of Ethics, personal trading surveillance, and conflicts of interest
• Experience reviewing marketing and investor communications under the SEC Marketing Rule
