Our client, a top PE and HF is looking to hire a compliance officer to join their team of 5. They are a mid-sized PE and HF that specialized in both traditional PE and more. Role will either be 3 or 4 days a week in the office and come with great benefits.

Main Duties and Responsibilities:

• Maintain and monitor the policies and procedures of the Fundamental Equity team. This includes monitoring the position holdings and facilitating any requiring SEC filings
• Assist in developing, monitoring, testing, and enforcing Compliance policies and procedures
• Assist in the oversight and monitoring procedures relating to the receipt of material non-public information
• Administer all aspects of the firm’s Insider Trading Policy, including maintaining the restricted trading list (“RTL”), the “watch” list and liaising with the Front Office and APG NL/APG Asia
• Star Compliance (Compliance Database and Monitoring system) administration and monitoring
• Broker Feeds
• Logical access controls/entitlements review
• Testing of all system upgrades
• Help administer all aspects of the firm’s Code of Ethics, including employee trade pre-approval requests, surveillance, initial and annual reports and certifications, maintained in the StarCompliance system
• Maintain and monitor compliance with portfolio investment guidelines
• Conduct weekly email review
• Interface with parent company counterparts on compliance issues and projects
• Monitor trade execution quality review process and enforce and administer the Best Execution policy
• Monitor and enforce Fair Allocation policy and procedures
• Other Ad Hoc projects

Comp up to 250-300k total.

#24507