Compliance Assistant (NJ Hedge Fund)

Compliance Assistant (10+ year old hedge fund; New Brunswick NJ area; reports to General Counsel & CCO; we've placed 5 people there; great training to become Assistant CCO; base 55k to 65k plus discretionary bonus)

Candidate should have a thorough understanding of NFA and SEC regulations with a background in corporate law and a para-legal a plus. 

  • All aspects of NFA and SEC policy
  • Drafting policies and procedures based on new rules and legislation
  • Researching new legislation/Rules 
  • Maintenance of registration applications Form ADV, CPO 
  • Maintaining and implementing compliance monitoring calendar 
  • Review of investment allocations among accounts 
  • Monitoring short sales have appropriate covers 
  • Assisting with the preparation of Form PF 
  • Filing of the 13H, 13F etc. 
  • Participating in various committees, Valuation committee, Best execution committee, drafting minutes and following through on action items. 
  • Monitoring adherence to valuation policy, testing administrators valuations and documenting results 
  • Assisting with Annual Compliance Review 
  • Review of personal trading accounts 
  • Monitoring adherence with Code of Ethics and Compliance Manuals 
  • Completing due diligence questionnaires 
  • Review and approval of marketing materials 
  • E-mail surveillance 
  • Monitoring administrators AML and KYC procedures 
  • Overseeing/documenting proxy voting 
  • Overseeing record retention policy
  • FSA and other regulatory oversight for appropriate jurisdictions

  • Prior experience in a similar role 
  • 5-7 years experience should equip a candidate to succeed in this role