What are the responsibilities and job description for the Regulatory Affairs Manager position at Fernridge Group?
About Fernridge Group
">Fernridge Group, an innovative alternative asset manager, is seeking a seasoned compliance professional to join its team. This role will involve close collaboration with the GC/CCO on various compliance initiatives.
Key Job Functions
- Conduct comprehensive compliance reviews, encompassing personal securities transactions, investment restrictions, vendor management, social media monitoring, and political contributions
- Develop and implement robust compliance frameworks, policies, procedures, and controls
- Prepare and submit necessary regulatory filings
- Oversee the review and updating of marketing materials and presentations to ensure regulatory compliance
- Support the Investment Relations team on compliance-related client and limited partner inquiries
- Pursue special projects and tasks assigned by the CCO and Management
- Perform gift and entertainment reviews to ensure adherence to global policies and regulatory requirements
- Maintain employee trading surveillance to protect the firm and prevent unauthorized trading
Essential Qualifications
- At least 5 years of experience in alternative asset compliance
- Bachelor's Degree and strong academic background; JD is advantageous but not mandatory
- Strong motivation and interpersonal skills
- Detailed-oriented approach
- Experience guiding or collaborating with junior colleagues
