What are the responsibilities and job description for the Compliance Officer, Lead Expert Networks position at Balyasny Asset Management LP?
Balyasny Asset Management is seeking an experienced Compliance Officer for its New York office. The employee will report to the Senior Compliance Counsel and will work closely with both the Compliance and Legal Departments. The primary focus will be to assist the Compliance Department with leading the expert network review process and providing compliance oversight to investment and non-investment staff in our US offices.
In the role of Compliance Officer, Lead Expert Networks the employee will be responsible for the following :
- Serve as a lead of the expert networks team, managing requests, and analyzing of information
- Reviewing and approving expert network requests from investment team members
- Chaperone expert network calls, documenting and tracking all calls and meeting notes
- Analyzing material non-public information and carrying out vetting procedures
- Working closely with expert network vendors
- Updating Compliance policies and procedures in regard to expert network policies
- Conducting new hire and annual compliance trainings
- Reviewing subject expert meeting requests
- Assist the Senior Compliance Counsel on data / research compliance matters
- Handling compliance inquiries and providing oversight and guidance to the investment and non-investment staff
- Assisting the team on the Compliance Annual review process
- Assist the Compliance Department with ongoing regulatory requirements and enforcing Compliance policies
- Escalate matters to Compliance management as necessary
- Participate in ad-hoc requests as needed
EDUCATION / EXPERIENCE & QUALIFICATIONS :
