Director Of Compliance; Hedge Fund

New York, NY

Job Function:


§   Implement, monitor and update all necessary compliance policies and procedures

§   Maintain a compliance work infrastructure, including but not limited to: maintaining books & records, routine compliance administration and testing, conducting annual compliance reviews, and executive management reporting.

§   Perform ongoing monitoring and approval related to the Code of Ethics (personal trading, gifts and entertainment, outside business activities, political contributions, etc.)

§   Prepare and maintain all regulatory filings (ADV, Form PF, Annex IV, Form D, 13F, etc.)

§   Review marketing materials, DDQs and RFPs

§   Keep current with new rules, regulations and developing compliance requirements; design and implement compliance initiatives as needed

§   Liaise with various external service providers and work closely with all teams within the firm


5-12 years of Hedge Fund compliance experience


Expertise in:  

  • policies and procedures
  • marketing material review
  • regulatory filings (Form ADV, Form PF, 13F, etc.)
  • code of ethics

Contact Details:

Steve Cebel

914-524-0301 ext 126