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Robert Half Legal
Document ID: A3462-0SL3Ad Number: rhii-01300124957 Published on: 2010-04-2804/28/2010 Job Type: Regular
Job Schedule:Full-time
Published in: ChicagoJobs
2010-04-01
COMPLIANCE ASSOCIATE FOR LOOP HEDGE FUND!
As seen in ChicagoJobs
COMPLIANCE ASSOCIATE FOR LOOP HEDGE FUND!
Compliance Associate will support the Firm s Legal and Compliance Department by assisting with the development, administration and oversight of the compliance program for this hedge fund, a registered investment adviser that manages funds of hedge funds. This investment company is registered with the Securities and Exchange Commission ( SEC ) as an investment adviser and it manages funds of hedge funds.
4+ years experience in a compliance function for a SEC-registered investment adviser, preferably one that manages hedge funds and/or mutual funds, is required.
Principal Duties and Responsibilities
Review, maintain, and update the Firm s regulatory filings, including those with the SEC and National Futures Association ( NFA ); Prepare policies and procedures; Assist with the SEC-required annual review of the Firm s policies and procedures, including testing of the policies and procedures, and participate in the drafting of the report to management regarding the same; Maintain the required compliance and corporate files as mandated by the SEC, NFA and other applicable regulators.
Review marketing materials and investor communications; Oversee the day-to-day administration of the Firm s code of ethics/personal trading policies; Coordinate responses to regulatory inquiries and third party examiners; Review investor transaction documents for suitability and other compliance risks; Monitor implementation and effectiveness of proxy voting procedures and privacy procedures; Conduct appropriate surveillance of business activities. Communicate directly with the Chief Compliance Officer regarding various written inquiries; Assist with anti-money laundering compliance; Interact with various departments within the organization to ensure consistency in policies and procedures.
Special projects as necessary.
If you are interested in this position please send a copy of your resume DIRECTLY to [email protected]
Additional Information
Location: CHICAGO, IL
Job ID: 01300-124957
Experience: Candidates must have a solid understanding of the asset management industry, securities markets and hedge funds as well as a thorough knowledge of securities laws that relate to investment advisers and hedge funds. Candidates must be able to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk. Candidates must have high moral character and professional integrity. Candidates must have excellent written, oral and presentation skills. Candidates must be self-starters that enjoy a team-oriented approach.
Unit: Robert Half Legal
Compliance Associate will support the Firm s Legal and Compliance Department by assisting with the development, administration and oversight of the compliance program for this hedge fund, a registered investment adviser that manages funds of hedge funds. This investment company is registered with the Securities and Exchange Commission ( SEC ) as an investment adviser and it manages funds of hedge funds.
4+ years experience in a compliance function for a SEC-registered investment adviser, preferably one that manages hedge funds and/or mutual funds, is required.
Principal Duties and Responsibilities
Review, maintain, and update the Firm s regulatory filings, including those with the SEC and National Futures Association ( NFA ); Prepare policies and procedures; Assist with the SEC-required annual review of the Firm s policies and procedures, including testing of the policies and procedures, and participate in the drafting of the report to management regarding the same; Maintain the required compliance and corporate files as mandated by the SEC, NFA and other applicable regulators.
Review marketing materials and investor communications; Oversee the day-to-day administration of the Firm s code of ethics/personal trading policies; Coordinate responses to regulatory inquiries and third party examiners; Review investor transaction documents for suitability and other compliance risks; Monitor implementation and effectiveness of proxy voting procedures and privacy procedures; Conduct appropriate surveillance of business activities. Communicate directly with the Chief Compliance Officer regarding various written inquiries; Assist with anti-money laundering compliance; Interact with various departments within the organization to ensure consistency in policies and procedures.
Special projects as necessary.
If you are interested in this position please send a copy of your resume DIRECTLY to [email protected]
Additional Information
Location: CHICAGO, IL
Job ID: 01300-124957
Experience: Candidates must have a solid understanding of the asset management industry, securities markets and hedge funds as well as a thorough knowledge of securities laws that relate to investment advisers and hedge funds. Candidates must be able to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk. Candidates must have high moral character and professional integrity. Candidates must have excellent written, oral and presentation skills. Candidates must be self-starters that enjoy a team-oriented approach.
Unit: Robert Half Legal
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