The Company

An investment management and brokerage firm, successfully operating for over 50 years,  seeks a Senior Compliance professional. 

The compliance person will be responsible for oversight of various registered investment advisers and private fund compliance matters. Candidates with real estate funds, hedge funds, fund of funds, high net worth clients, and family office clients would be desirable.   

What You Will Do 

  •  Create compliance-related reports and disclosures
  •   Assist with monitoring progress of the annual compliance review and assist with preparation for internal and external audits
  •   Audit, maintain, and enhance policies and procedures
  •   Review and approve marketing presentations, including DDQs for private funds
  •   Collaborate with team to administer firm’s vendor due diligence procedure and process
  •   Track regulatory filing dates to ensure accurate and timely documentation
  •   Assist with maintaining firm’s code of ethics monitoring system including: review of transaction alerts and employee trading activity; track gift and entertainment reporting; and review of political contribution pre-clearance requests
  •  Prepare and deliver training sessions to firm employees
  •  Maintain discretion with regard to highly confidential information and follow the firm’s document retention procedures
  •  Grow with the firm and add responsibilities as needed


Desired Skills & Experience

  •       5-10 years regulatory compliance experience with an asset management firm, broker-dealer or fund manager
  •       J.D. a strong plus
  •       Experience implementing and conducting regulatory and/or forensic testing 
  •       Experience with SEC, NFA/CFTC, and other regulatory requirements relating to investment advisers and alternative products
  •       An understanding of and ability to apply SEC marketing rules  
  •       Drafting compliance manuals, policies, and procedures; assist with drafting fund documents

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com.

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