Private Hedge Firm in Brickell is looking for an experienced Compliance Officer to join us quickly.
Experience with Hedge Fund compliance including with the SEC, CFTC & NFA.
The position carries significant responsibility and requires someone familiar with hedge fund futures regulations and proven, superior methodology to ensure a compliant organization.
Supervise the firm’s overall compliance program including but not limited to developing initiatives to implement laws and regulations, establish monitoring and training schedules, conduct periodic self-assessments, assign compliance responsibility by business function, respond to investors complaints, correct internal oversight deficiencies, administer corrective actions, review and approve advertising materials, and review vendor contracts for applicable regulatory requirements;
Work across all business lines and report to the Compliance Committee and Board of Director’s the on-going activities of the Regulatory Compliance Program;
Provide leadership and management to ensure that the mission and core values of the company are put into practice;
Develop and maintain the Compliance Program and ensure that policies and procedures support the program to ensure compliance with all regulatory laws and regulations;
Manage day-to-day activities of the Compliance Program including ongoing monitoring;
Develop monitoring schedules on a yearly basis and update as needed to ensure that adequate monitoring is established for all investors regulations and all applicable business lines in a timely and sufficient manner;
Oversee and conduct reviews of system records and operations to identify violations and program deficiencies. Such findings shall be reported to senior management. Provide recommendations as needed to ensure that such deficiencies are cured and corrected;
Review business line procedures to ensure that internal controls are integrated into each business line’s daily functions and provide recommendations and assistance with development of internal controls and checklists for business lines to ensure compliance with all laws and regulations;
Develop training schedules on a yearly basis and update as needed to ensure that appropriate levels of training are completed across business lines. In addition, update the training schedules as needed to ensure thorough understanding of new laws and regulations and the impact on business lines;
Stay abreast of changes to laws and regulations and ensure that business lines are made aware of new laws and regulations in a timely manner to ensure compliance;
Address investors complaints and ensure that appropriate remedies are made in connection with any complaint as applicable. Ensure that a complaint log is maintained and reviewed on a regular basis to identify any systemic issues;
Review and ensure new products and services comply with all regulatory requirements;
Assign compliance responsibility to managers and employees who are responsible for carrying out the transactions to ensure a sense of ownership within the organizational structure. Oversee corrective action taken by management to address compliance deficiencies