Advisory Compliance Officer

New York, NY

Brief Description:

Our client; a midtown based Hedge Fund, is seeking an Advisory Compliance Officer for Research & Trading. The position will develop and support a compliance program encompassing the full investment life-cycle,

Job Function:


• Provide real-time guidance and support to the businesses on regulatory matters that impact the investment process and the firms fiduciary duties;
• Assist with the design and roll-out of compliance strategic initiatives;
• Research current and proposed rules on a global basis across the jurisdictions in which the firm operates
• Full lifecycle support of Policies and Procedures (identify, evaluate, improve and draft) to support the compliance program
• Develop strong relationships with the businesses the firm  supports
• Develop regulatory reporting and filings in preparation for, and response to, inquiries and audits from regulatory authorities
• Analyze the effect of new business initiatives, investment products, and markets on the compliance program
• Identify, develop and provide compliance training to members of the Firm on an ad-hoc and annual basis
• Support the annual compliance program review.


• Between 5-8 years of experience as a compliance professional at either a large broker-dealer or a mid or 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 is also desirable, as is prior work done at a regulator;
• 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;
• Ability to self-identify and mitigate conflicts related to the investment process;
• The ability to work in a fast paced environment where priorities must be reassessed continually.
• Desire and drive to build deep and trusting relationships with business coverage areas and counterparts in other support roles or control functions;
• Outstanding organizational and communication skills such that they can drive their work and initiatives forward independently while also keeping their manager informed; and
• Ability to understand complex problems and provide clear, concise guidance to aide in their resolution.

Contact Details:

Steve Cebel

914-524-0301 ext 126