Compliance Officer

Specific Responsibilities

Perform required compliance functions in coordination with and under the direction of the CCO/Head of Compliance
Assist with the Annual Compliance Review
Assist with NFA PQR and SEC Form PF filings
Coordinate responses to inquiries and interact with regulators as necessary
Oversee NFA requirements including fund registrations
Assist with updates of Compliance policies and procedures
Prepare regulatory filings (Form ADV, Form 40, and others)
Develop and execute the Compliance Monitoring Program for Solutions and Discretionary businesses
New account and fund onboarding
Provide support to ad-hoc wider compliance projects and regulatory business change initiatives as they arise
Analyze wall-cross requests, secondary offerings in relation to Rule 105 and requests from the investment teams
Assist in supporting investment staff and trading desk with compliance related questions
Monitor regulatory landscape for rule changes
Advise on responses to DDQs, RFPs, and other questionnaires

Qualifications

A good foundation and strong understanding of the Investment Advisers Act of 1940, ERISA and NFA/CFTC requirements 3+ years of relevant experience (preferably at a hedge fund or large asset management firm)
Strong working knowledge of the rules and requirements of the Investment Advisers Act of 1940, ERISA and NFA/CFTC.
Self-motivated with exceptional organizational, communication and interpersonal skills
Ability to work in a busy environment and multi-task both in an independent, self-directed manner and also as part of a team
Ability to navigate and learn new systems