What are the responsibilities and job description for the Compliance Risk Specialist position at Fernridge Group?
About Fernridge Group
">Fernridge Group, a leading alternative asset manager, seeks a senior compliance officer to join its team. This individual will work closely with the General Counsel/Chief Compliance Officer (GC/CCO) on US and international compliance matters.
Key Responsibilities
- Conduct thorough compliance reviews, including personal securities transaction assessments, investment restriction evaluations, vendor management audits, social media testing, and political contributions analysis
- Design and implement effective compliance policies, procedures, and related controls and testing protocols
- Prepare and submit regulatory filings, such as the ADV, Form 13F, and Form PF
- Review, edit, and update marketing materials and presentations to ensure compliance with regulations
- Support the Investment Relations department on all compliance matters related to client and limited partner inquiries
- Handle special projects and other duties assigned by the CCO and Management
- Gift and entertainment reviews: Verify consistency with global policies and regulatory requirements
- Monitor employee trading to safeguard the firm and prevent employees from trading on material non-public information, liaising with all employees regarding their personal trades
Required Qualifications
- Minimum 5 years of experience in alternative asset compliance
- Bachelor's Degree and strong educational background; JD is a plus but not required
- High level of self-motivation and interpersonal skills
- Attention to detail
- Experience mentoring or working alongside junior resources
