Role OverviewThis role sits in the Compliance team based in NY and to work as part of the team under the direction of the Head of Compliance. The Compliance team provides a second line of defense, their role includes providing oversight and guidance on the Firm's compliance with applicable rules, regulations and internal policies and procedures.
What You Will Do
Perform required compliance functions in coordination with and under the direction of the Head of Compliance, assist with new product launches and client on-boarding, and conduct regulatory analysis of new rules and existing rules and their impact across the Firm.
Why It Might Be a Fit
A good foundation and strong understanding of the Investment Advisers Act of 1940, ERISA and NFA/CFTC requirements, self-motivated with exceptional organizational, communication and interpersonal skills, and ability to work in a busy environment and multi-task both in an independent, self-directed manner and also as part of a team.
Requirements
- A good foundation and strong understanding of the Investment Advisers Act of 1940, ERISA and NFA/CFTC requirements
- 5+ years of relevant experience (preferably at a hedge fund or large asset management firm)
- Strong working knowledge of the rules and requirements of the Investment Advisers Act of 1940, ERISA and NFA/CFTC
- Self-motivated with exceptional organizational, communication and interpersonal skills
- Ability to work in a busy environment and multi-task both in an independent, self-directed manner and also as part of a team
- Ability to navigate and learn new systems
Benefits
- Competitive holiday entitlements
- Pension/401k
- Life and long-term disability coverage
- Group sick pay
- Enhanced parental leave and long-service leave
- Private medical coverage
- Discounted gym membership options
- Pet insurance
- Two annual 'Mankind' days of paid leave for community volunteering
- Discretionary bonus
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