An opportunity for a Compliance Officer join a leading hedge fund in New York, NY. This position will be the first compliance hire for the firm in the US and will report directly into the Global CCO.
Key Responsibilities
Provide regulatory advice to the business and trading desks.
Design and oversee the firms compliance policies and provide training to employees.
Work in conjunction with the London team and Global CCO to provide ongoing support on compliance team in a global effort.
Manage and implement the compliance monitoring program, conduct testing, and issue an annual compliance report
Review marketing and sales material to ensure consistency and compliance with applicable laws, regulations, etc.
Perform other business risk assessments such as conflicts of interest, best execution practices, various internal review/approval processes, cybersecurity, business continuity, records retention and email reviews, among others
Prepare and maintain all regulatory filings (Form ADV, Form PF, CPO-PQR, CTA-PR, Form D, 13F, etc.
Provide direction and guidance to internal/external business associates on investment advisory compliance issues, including fiduciary responsibility, advisory regulation, strategic relationships, and permissible activities under firm policy, SEC rules and regulations and the Investment Advisers Act of 1940.
Requirements
+7 years of relevant investment advisory experience, ideally within the hedge fund space.
Experience across compliance areas; thorough understanding of both the investment management industry and U.S. and international securities laws applicable to alternative funds, including the Investment Advisers Act of 1940, the Commodity Exchange Act, the Investment Company Act of 1940 and ERISA
The role requires an independent, critical thinker with strong personal and problem solving skills.
The client requires recent previous alternatives experience working in a legal or compliance team/role
About Rutherford
Rutherford is a boutique search firm that specialises in legal, financial crime and compliance recruitment within the financial services and legal sector, with London and New York being the main focus. We use our carefully curated relationships, networks and market knowledge to find the best fit for the clients in hand. We work with a wide range of clients, spanning from advisors, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms and investment banks.
Remote working
We are currently looking for regionally-located Compliance Officers from the following areas who would be interested in working for London firms on an interim WFH basis:
Kent, East Sussex, Essex, Cambridgeshire, Suffolk, Bedfordshire, Buckinghamshire, Hertfordshire, Oxfordshire, Berkshire, Wiltshire, Surrey or Hampshire. We are also interested in hearing from candidates in Manchester, Birmingham, Oxford, Winchester and Salisbury.
