Compliance Officer

Responsibilities: Help oversee and support the firm’s U.S. compliance program Provide day-to-day compliance advice to investment and research professionals Participate in the annual Rule 206(4)-7 review, forensic testing and ongoing monitoring Draft, enhance and implement compliance policies and procedures Support all aspects of the Code of Ethics, including personal trading, gifts and entertainment, outside activities, conflicts and political contributions Monitor regulatory developments and assist with implementation of applicable changes Prepare and review regulatory filings, including Form ADV, Form PF, 13F, 13H, Blue Sky, NFA/CFTC and FCA-related filings Review marketing materials, presentations, newsletters and DDQsAssist with pre- and post-trade compliance reviews Monitor side-letter and investment-management-agreement obligations Support regulatory examinations, compliance training and books and records requirements Conduct compliance due diligence on vendors, brokers, research providers and other third parties Investigate and escalate potential compliance issues and assist with other ad hoc matters

Qualifications: Bachelor’s degree with a strong academic record 5+ years of relevant compliance experience within a hedge fund, investment adviser, compliance consulting/vendor environment or regulatory organization Working knowledge of U.S. and U.K. securities regulations Familiarity with SEC, NFA, CFTC and relevant exchange requirements Strong organizational, analytical and critical-thinking skills Proactive, detail-oriented and comfortable managing multiple priorities Ability to work independently while collaborating effectively across the organization Strong project-management skills, professionalism and discretion