What are the responsibilities and job description for the Senior Compliance Officer (Alternative Investments) position at Coda Search│Staffing?
One of our highly reputable Financial Services clients currently seeking to add an Specialist/Senior Associate to their growing global Compliance Team. Ideal candidate will be working very closely with COO/ Head of Legal working on a number of compliance related matters: Regulatory/Policy and Procedures/Personal Conduct/Legal/Training/ and other compliance related responsibilities as needed.
Essential Functions:
- Draft policies and procedures for the firm, including a Code of Business Conduct, Conflicts of Interest Policy (Outside Business Activities, Political Contributions, Gifts and Entertainment policies), and personal trading
- Provide timely and accurate advice on compliance matters to all relevant departments and divisions within the organization.
- Draft regulatory filings
- Assist the CCO/GC in the development, implementation, and management of an effective compliance program with applicable securities laws and regulations;
- Monitor compliance testing and surveillance
- Address questions from operational staff about regulations and training program development as needed for understanding industry regulations and best practices.
- Revise all marketing materials and activities for compliance with regulatory requirements
- Daily monitoring of Trading related guidelines and communicate necessary details to various business units including: Investment Team, Compliance, and Trading Operations
- Review and test personal trading activities for compliance with regulations and the Code of Ethics
- Onboard relevant compliance management vendors
- Assist in researching and responding to comments and/or inquiries received from regulators
- Review and test personal trading activities for compliance with regulations and the Code of Ethics
- Develop and implement plans to manage compliance violations effectively while minimizing potential impact.
- Preparing investment related presentations for senior management and firm principals
- Assist with special projects, as requested.
QUALIFICATIONS:
- Bachelor’s degree from an accredited college or university;
- The candidate will have a demonstrated ability to analyze data and be able to present findings to the managerial level personnel.
- Minimum 3 years related professional (Compliance and/or Legal) experience (Asset Management/Hedge Fund/Private Equity/ Fund Administration or similar)
- Intermediate to Advanced Microsoft Excel/PowerPoint skills are required.
- Effective oral and written communication skills and ability to listen effectively.
Salary : $160,000 - $225,000
