Compliance Associate Director

Constellation Advisers New York , NY 10036

Posted 1 week ago

Opportunity: Constellation Advisers, a premier investment management consultancy with a boutique firm approach, is seeking an experienced compliance professional with a minimum 7 years of relevant experience. The ideal candidate will have a strong background working in-house at fast-paced, sophisticated long-short hedge fund managers who actively traded equity securities, derivatives and complex hybrids both domestically and in foreign markets; as well as familiarity with Rule 105 of Reg. M restrictions, order marking across portfolios, packaging securities into hedging instruments, and potential regulatory implications associated with complex trading and hedging strategies. Bachelor degree required and JD preferred.

Why Constellation: Since it was founded in 2008, Constellation has built an unparalleled reputation as a leading service provider to the investment management industry. This is entirely a result of its people. The investment in our employees begins on day one with onsite training while working alongside senior executives in high growth industries. Beginning at the Associate level, our professionals are exposed to a wide array of investment management structures and strategies including hedge funds, private equity, energy, debt, crypto asset, real estate, venture capital, and many more. The day to day variance keeps our people engaged and at the forefront of the industry. Our teams work in a collaborative environment across service lines to gain insight into Accounting and Finance, Middle Office and Operations, and Regulatory and Compliance. Constellation is expanding across the country and worldwide as we continue to open new offices and grow our client base. Join our team today and develop experience that will last you a lifetime.

Key Components: This position requires strong concern for quality and accuracy of work with a results-oriented focus. The work involves critical and technical thinking and problem solving based on detailed knowledge of all pertinent facts and thorough analysis of relevant details. There is an intense focus on complex, independent problem solving, self-direction and freedom of ideas. The individual in this position must maintain a professional demeanor and make sound, well thought-out decisions. This position requires little delegation of details or responsibilities, it is important that close, quick and critical follow up occur to recognize and correct mistakes. The work schedule of this position will be dictated by client needs, work flow and current deadlines. This hire will join the firm's compliance team in the assessment, development, implementation, and testing of compliance programs for our hedge fund managers, in addition to providing Regulatory Exam support functions.

Requirements

Responsibilities:

Work within the team to:

  • Advise clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives.
  • Advise on Rule 105 of Reg. M restrictions, order marking across portfolios, packaging securities into hedging instruments, complex trading and hedging strategies.
  • Advise on and review firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.
  • Assist clients in the performance of compliance functions, such as oversight of personal trading, email review, the monitoring of firm trading activities and maintaining restricted lists.
  • Prepare and file required regulatory filings, for US and international clients.
  • Review client and account documentation for anti-money laundering compliance.
  • Review, assess, devise, and conduct training of our clients' employees and management, according to client needs, particularly regarding the Advisers Act, including training on insider trading, custody, conflicts of interest (i.e. allocations, Pay-to-Play, gifts and entertainment, and cross trades), and valuation.
  • Design and monitor testing systems to ensure the efficacy of controls and surveillance programs, including the consultation and implementation of relevant technology and technology infrastructure.
  • Perform other compliance-related responsibilities and special projects, as needed.

Qualifications:

Successful candidates will have many, if not all, of the attributes below:

  • Bachelor's Degree Required
  • Strong experience with buy-side compliance for actively traded hedge funds is required
  • Indepth pre-trade and post-trade compliance experience
  • Strong background with hedge fund(s) who actively trades securities, derivatives and complex hybrids; experience includes familiarity with Rule 105 of Reg. M restrictions, order marking across portfolios, packaging securities into hedging instruments, and potential regulatory implications associated with complex trading and hedging strategies.
  • 7-10 years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm
  • Strong working knowledge of the IA Act of 1940
  • Knowledge of SEC Exam practices, experience with SEC exams preferred
  • Knowledge of CFTC / NFA as well as FINRA requirements is a plus
  • JD Preferred

Benefits

  • Health Care Plan (Medical, Dental & Vision)
  • Retirement Plan (401k, IRA)
  • Life Insurance (Basic, Voluntary & AD&D)
  • Paid Time Off (Vacation, Sick & Public Holidays)
  • Family Leave (Maternity, Paternity)
  • Short Term & Long Term Disability
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Compliance Associate Director

Constellation Advisers