Director of Compliance

Baltimore, MD

Responsibilities

 

  • Reporting to the firm’s General Counsel & CCO, Work with and report to the firm’s General Counsel & CCO to manage the firm’s overall compliance program including ensuring compliance with the firm’s compliance policies and procedures
  • Lead and oversee compliance training for new employees, and conduct annual compliance training for the firm.
  • Compliance representative on investment team’s external calls with CEOs, and 3rd party advisors related to monitoring and logging calls for MNPI purposes.
  • Manage the annual compliance calendar
  • Prepare materials for the Compliance Committee, and participate as a member of the Compliance Committee meetings including taking minutes and action items.
  • Responsibility for preparing and filing all regulatory filings (e.g., Form ADV, Form PF, Section 13/16 filings)
  • Handle email surveillance, brokerage account review, gift and entertainment and political contribution monitoring, expense review and compliance system oversight
  • Manage compliance testing, including quarterly post trade testing
  • Aid the firm in being “exam ready” for any future SEC exams
  • Assist the GC/CCO in various legal matters including reviewing NDAs, service contracts, transfer agreements and other corporate legal matters

 

Requirements

 

  • J.D. preferred
  • Candidates with 3-4 years of total experience, including law firm experience /or compliance consulting experience [or has served as the lead on compliance for another hedge fund or asset manager]
  • Experience working on compliance matters related to investment advisers and hedge funds or private equity funds required
  • Desire to focus on implementation of a compliance program

 

 

 

 

Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

Date Posted 8/17/2020
Salary $125,000 - $200,000






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