Our client, a leading investment manager, is looking to hire an Advisory Compliance officer to assist with the firm's Research and Trading Compliance program in New York. You will play an important role in developing and supporting a compliance program encompassing the full investment life cycle, including but not limited to, data acquisition, research practices and methodologies, portfolio management and trading as well as provide real-time guidance and support to the businesses on regulatory matters that impact the investment process and the firm's fiduciary duties;
The ideal profile will have:
- Between 5-8 years of experience in compliance at either a broker-dealer or a mid/ large-sized investment advisory firm/hedge fund that has a sizable operation in trading equities (preferably in global markets) and is registered with the SEC;
- Experience at a quantitative or systematic hedge fund as well as prior work done at a regulator is desirable;
- Familiarity and experience with algorithmic trading a plus;
- Solid understanding of regulatory/self-regulatory agencies (e.g., FINRA, NYSE, FSA, CFTC) and the requirements of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Securities Act of 1933.
You will need to possess excellent organizational, written & communication skills as well as have the ability to handle confidential and sensitive information. Compensation is competitive and commensurate with industry experience.
For more information, please contact or call 646 766 1212.