Compliance Manager Job at Social Capital Resources, New York, NY

  • Social Capital Resources
  • New York, NY

Job Description

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

Responsibilities:

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

Qualifications:

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

Job Tags

Full time

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