What are the responsibilities and job description for the Director, Compliance position at Balyasny Asset Management LP?
Balyasny Asset Management is seeking an experienced Director of Compliance for its New York office. The employee will report to the Deputy Chief Compliance Officer and will work closely with both the Compliance and Legal Departments.
In the role of Director, Compliance Officer in the New York Office, the employee will be responsible for the following :
- Working alongside the Deputy Chief Compliance Officer and carrying out review and oversight of the compliance program
- Assisting the trade Surveillance team and handling of complex questions and issues
- Reviewing / vetting of trading related conflicts
- Responsible for policy development, creating new policies and procedures as well as updating existing ones
- Working closely with the private equity and credit business lines
- Conducting allocation analysis and conflict checks
- Reviewing and handling an MNPI questions, issues and vetting of information if obtained and carrying out internal procedures
- Assisting the team on answering questions regarding marketing materials and disclosures
- Providing oversight and guidance to the investment and non-investment staff with regard to trading related compliance matters
- Conducting and carrying out PM / Analyst new hire onboarding and training
- Conduct Annual and New Hire Training
- Handling general compliance inquiries
- Assisting the team on the Compliance Annual review process as well as monitoring and testing
- Assist the Compliance Department with ongoing regulatory requirements
- Enforcing compliance policies and escalating issues when necessary
QUALIFICATIONS & REQUIREMENTS :
EDUCATION, TRAINING & EXPERIENCE :
