$12Bn Hedge Fund looking for a Compliance Associate that will be an integral part of the fund's cross-functional operations team and will work closely with Legal, Accounting, and Investor Relations professionals. The Compliance Associate will assist the General Counsel and Chief Compliance Officer oversee the entirety of the firm's compliance program.
Key Responsibilities:
1.Compliance Monitoring:
o Develop, implement, and maintain comprehensive compliance programs in accordance with SEC regulations and industry standards.
o Monitor and ensure adherence to all applicable laws, rules, and regulations governing investment advisers and private funds.
o Conduct periodic compliance reviews and assessments to identify and address potential compliance issues.
o Collaborate with compliance consultants to complete required compliance tasks.
o Support the General Counsel and Chief Compliance Officer’s initiatives relating to development and updating of compliance policies, procedures, and controls to mitigate risks and ensure adherence to regulatory requirements.
o Be responsive to employee inquiries regarding compliance matters, ethical standards, and best practices.
o Administer the firm’s compliance management system, ensuring accurate tracking, documentation, and implementation of compliance-related activities.
2. Regulatory Reporting and Filings:
o Prepare and collaborate on required regulatory reports and disclosures, including Form ADV, Form PF, and other relevant filings.
o Stay updated on regulatory developments and assist in interpreting regulatory changes for the organization.
Key Qualifications:
•Bachelor’s degree required.
•Expertise in regulatory compliance relevant to SEC-registered investment advisers, either as an in-house compliance professional or compliance consultant.
•Familiarity with Anti-Money Laundering (AML) and Know Your Customer (KYC) requirements, and experience administering such programs.
•Familiarity with ESG related matters, regulations, and reporting frameworks, such as the EU Taxonomy or Sustainable Finance Disclosures Regulation (SFDR) or other international frameworks, is desirable.
•A minimum of 2 years of experience in compliance related to registered investment advisers, with previous experience in the private equity or investment management industry desired.
•Strong understanding of the regulatory environment for private funds and investment advisers.
•Experience working on non-disclosure agreements is preferred but not mandatory.
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