Job Summary
The Compliance Officer plays a crucial role in ensuring adherence to regulations by overseeing compliance activities such as regulatory submissions, monitoring processes, and facilitating the onboarding of funds. The officer will provide support to investment personnel concerning compliance-related questions, while remaining informed about changes in regulatory landscapes.
Responsibilities
- Assist with regulatory filings to ensure compliance with governing standards.
- Monitor compliance programs to maintain effective oversight.
- Oversee the onboarding process for new funds to ensure adherence to regulations.
- Provide guidance and support to investment staff on compliance matters.
- Stay informed about evolving regulations and adjust compliance strategies as necessary.
Qualifications
- Minimum of 3 years of relevant experience within a hedge fund or asset management environment.
- Thorough understanding of the Investment Advisers Act of 1940.
- Familiarity with ERISA guidelines and NFA/CFTC requirements.
