Compliance Officer opportunity with our client; exclusively represented by iSearch
Position: Compliance Officer
Location: New York, NY (Midtown)
Industry: HealthCare Private Equity & Hedge Fund
Position & Company Summary: Long/short healthcare-dedicated fund with over $10b AUM seeking Compliance Officer, reporting to CCO.The role involves workingacrossthefirm’svariousbusinessesandwith global offices.The Compliance Officer will cover all trade compliance activities that a CCO would cover, interact with every member of the firm, and enjoy support for the Legal, Operations, IT, and other teams.This is a role for someone independent-minded who will excel in a lean environment.This person must have the desire to own the compliance function handling all related work as well as initiate and follow-through on broad, compliance related projects.This is an ideal role from someone who strives to be a CCO as a next step after this position.
Overview of responsibilities:This person will oversee trade Compliance policies, procedures and systems, including maintaining and managerestrictedandwatchlists;monitorregulatoryreportingrequirementsandexchangerules;prepareandfile regulatory forms, including Forms D, 13D, 13F, 13G, and 13H, as well as non-U.S. beneficial ownership filings; manage beneficial ownership tracking through daily reconciliation; conduct trading-related testing and surveillance; coordinate Best Execution reviews and provide necessary reports; manage soft commissions program; and serve as liaison and internal resource with trading and operationsteams.
- Must have at least a Bachelor’s Degree in a related field
- Must have between 3- and 5-years total experience with at least 3 years of experience at a hedge fund or bank in trade compliance
- Must have strong ability to and experience interacting with trading desk and analysts with a proven success in working collaboratively across teams and communicating clearly in a fast-paced environment
- Experience with a long/short strategy is helpful but not required as is experience with private equity or activist transactions
- Familiarity with U.S. and non-U.S. transaction and ownership rules and reporting, including under Sections 13 and16
- Advanced Bloomberg and Microsoft Excel skills
Compensation and Benefits:
- Compensation is competitive and includes a substantial bonus
- Excellent benefits package
To apply or for more information:
Apply here with resume. All applicants will be held confidentially and we will reach out if there is a potential match.
We welcome referrals and pay a $1k referral fee. If you'd like to refer someone (can be done confidentially) for this or other opportunities with our clients, please contact us via email.
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