A New York-based asset manager (SEC registered investment adviser and CFTC registered CTA/CPO) is seeking a VP, Compliance Officer.


Vice President (Compliance) Job Description:

+ Provide compliance support to ensure that the firm’s compliance programs are implemented, maintained and enforced in accordance with the applicable rules and regulations including the Investment Adviser Act of 1940 and the Commodity Exchange Act.

+ Review pitch books, monthly reports, DDQs, RFPs and other marketing documents. Participate in investor operational due diligence.

+ Conduct various day-to-day compliance surveillance activities including Code of Ethics and Code of Conduct supervision and enforcement (including personal trade review and monitoring, distribution and review of quarterly and annual Code of Ethics reporting, requesting, collecting and reviewing third party statements as necessary, maintaining restricted lists, gift and entertainment reviews, and ...