What are the responsibilities and job description for the Ethics and Compliance Professional position at Fernridge Group?
About Fernridge Group
">Fernridge Group, a reputable alternative asset manager, seeks a skilled compliance expert to join its team. This position involves close collaboration with the GC/CCO on various compliance initiatives.
Key Accountabilities
- Conduct thorough compliance assessments, encompassing personal securities transactions, investment restrictions, vendor management, social media monitoring, and political contributions
- Develop and implement effective compliance programs, policies, procedures, and controls
- Prepare and submit regulatory filings, such as the ADV, Form 13F, and Form PF
- Oversee the review and updating of marketing materials and presentations to ensure regulatory compliance
- Support the Investment Relations department on compliance-related client and limited partner inquiries
- Assist with special projects and tasks assigned by the CCO and Management
- Perform gift and entertainment reviews to verify consistency with global policies and regulatory requirements
- Maintain employee trading surveillance to safeguard the firm and prevent unauthorized trading
Required Skills and Qualifications
- At least 5 years of experience in alternative asset compliance
- Bachelor's Degree and strong educational background; JD is beneficial but not essential
- Strong motivation and interpersonal skills
- Detailed-oriented approach
- Experience guiding or collaborating with junior colleagues
