Compliance Manager - New York


Company:: Not Disclosed
Location:: New York City, NY
Job Type:: Full Time
Category:: Accounting


Posted:: 2/6/2013

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Job Description

New York based Compliance Manager Opportunity to work for established Hedge Fund with Global Offices - Must have authorisation to work in the US

Role Details:

This role will be based in the New York office, reporting in to the Chief Compliance Offer.
This role is ideal for someone looking to step up in to a number two/ deputy to the CCO in due course, or take this on immediately if appropriate.
As part of a close knit small compliance team, your role will be very broad.
Monitoring and Testing - have oversight of the Group's annual review program pursuant to Rule 206(4)-7 of the Advisers Act.
Work to establish a risk based review plan to meet review cycle requirements.
Perform testing of compliance and regulatory related controls to evaluate effectiveness.
Draft preliminary recommendations and work with responsible owners to agree on corrective action based on review findings.
Follow-up on action plans to verify that corrective action has been effectively implemented.
Provide necessary training and assistance to other members of the team to ensure they are able to plan and conduct compliance reviews.
Overseeing the work of team members.
Other generalist duties will include:
- Policy writing
- Regulatory Filings
- AML
- Training
- Ad-hoc special products

Candidate Requirements:

Strong proven compliance background gained, ideally, in the investment management/hedge fund sector.
Authorised to live and work in the US (US Visa/ citizenship, etc).
Very broad compliance experience, including in depth monitoring skills.
Must be able to work effectively as part of a small team where the role will be very varied.
Excellent interpersonal and communication skills.
Strong relationship building ability.
Able to deal effectively with senior management and the business e.g. handling queries, investigating and handling regulatory related issues.
Supervisory experience as this role will require assisting supervising the compliance team.
Work well in a small firm environment.