Develop and implement a comprehensive compliance program for the hedge fund, ensuring compliance with relevant laws, regulations, and industry best practices.
Conduct regular compliance assessments and reviews to identify and mitigate potential compliance risks.
Monitor and assess changes in regulatory requirements and industry trends, and proactively update compliance policies and procedures accordingly.
Collaborate with internal stakeholders, including portfolio managers, traders, and operations teams, to provide guidance and support on compliance-related matters.
Review and approve new products, investment strategies, and transactions to ensure compliance with regulatory requirements.
Conduct ongoing monitoring and surveillance of trading activities to detect and prevent potential compliance breaches, market abuse, and insider trading.
Stay updated on emerging technologies and trading platforms, assessing their impact on compliance requirements and implementing necessary controls.
Prepare and submit regulatory filings and reports as required.
Manage relationships with regulatory authorities and participate in regulatory examinations and audits.
Qualifications:
Bachelor’s degree in finance, Business, or a related field.
Minimum 5 years of experience in hedge fund compliance, with a strong understanding of regulatory requirements and industry best practices.
In-depth knowledge of relevant regulations, such as SEC, CFTC, and FINRA, as well as familiarity with global regulatory frameworks.
Strong analytical skills with the ability to identify and assess complex compliance risks.
Excellent communication and interpersonal skills, with the ability to effectively engage and influence stakeholders at all levels.
Proven track record in developing and implementing compliance programs within the hedge fund industry.
Experience in monitoring and surveillance tools and systems for compliance monitoring.
Ability to work independently, manage multiple priorities, and meet deadlines in a fast-paced and dynamic environment.
Knowledge of investment strategies, trading processes, and risk management practices within hedge funds is preferred.