Compliance Manager

Fund in Midtown, Manhattan is seeking a Compliance Manager for a full-time position!

Responsibilities:

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• Day-to-day administration of the compliance program under Rule 38a-1 and Rule 206(4)-7
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• Proficient in working with portfolio data to ensure proper pre-trade compliance (restricted list, adherence to investment guidelines as per the PPM, SMA terms)
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• Manage all other compliance requirements such as quarterly attestations, personal employee trading
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• Ensure all necessary filings are made (13H, Form PF, CFTC exemptions, etc.)
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• Inventory and track for adherence to any investor requirements (side letter terms, SMA terms, etc.)
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• Prepare the annual compliance calendar and monitor adherence to all deadlines.
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• Manage employee regulatory filings, disclosures, and preclearance requests
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• Distribute compliance notifications, including trading window alerts and restricted lists, and issue additional reminders as needed.
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Qualifications:

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• Bachelor's Degree
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• Working knowledge of the Investment Advisers Act, Investment Company Act, and Securities Exchange Act
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• 3-7 years experience working in compliance at a hedge fund or asset manager
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• Experience with owning recurring compliance calendars and close items with documented evidence of review and completion.
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