Compliance Officer- PE/HF
Compliance Officer- PE/HF
Atlantic Group
New York City Metropolitan Area
See who Atlantic Group has hired for this role
Our client, a top PE and HF is looking to hire a compliance officer to join their team of 5. They are a mid-sized PE and HF that specialized in both traditional PE and more. Role will either be 3 or 4 days a week in the office and come with great benefits.
Main Duties and Responsibilities:
- Maintain and monitor the policies and procedures of the Fundamental Equity team. This includes monitoring the position holdings and facilitating any requiring SEC filings
- Assist in developing, monitoring, testing, and enforcing Compliance policies and procedures
- Assist in the oversight and monitoring procedures relating to the receipt of material non-public information
- Administer all aspects of the firm’s Insider Trading Policy, including maintaining the restricted trading list (“RTL”), the “watch” list and liaising with the Front Office and APG NL/APG Asia
- Star Compliance (Compliance Database and Monitoring system) administration and monitoring
- Broker Feeds
- Logical access controls/entitlements review
- Testing of all system upgrades
- Help administer all aspects of the firm’s Code of Ethics, including employee trade pre-approval requests, surveillance, initial and annual reports and certifications, maintained in the StarCompliance system
- Maintain and monitor compliance with portfolio investment guidelines
- Conduct weekly email review
- Interface with parent company counterparts on compliance issues and projects
- Monitor trade execution quality review process and enforce and administer the Best Execution policy
- Monitor and enforce Fair Allocation policy and procedures
- Other Ad Hoc projects
Comp up to 250-300k total.
#24507
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Seniority level
Mid-Senior level -
Employment type
Full-time -
Job function
Accounting/Auditing and Finance -
Industries
Venture Capital and Private Equity Principals and Investment Banking
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See who you knowFeatured Benefits
Inferred from the description for this job
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Medical insurance -
Dental insurance -
Vision insurance -
401(k) -
Child care support -
Pension plan -
Paid maternity leave -
Paid paternity leave -
Commuter benefits -
Student loan assistance -
Tuition assistance -
Disability insurance
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