Legal & Compliance Vice President

Top-Tier Hedge Fund in NYC is looking for a permanent Legal & Compliance VP!

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Responsibilities:

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• Interface with the compliance team, management, operations, or legal, as appropriate, to communicate, coordinate and resolve issues and respond to requests
• Counsel business associates on regulatory and compliance requirements
• Coordinate with the firm’s outside service providers to ensure regulatory filings are made timely and accurately.
• Update and file all required regulatory filings including, but not limited to ADVs and other periodic filings
• Update and amend Compliance Manual, Code of Ethics and other compliance policies and procedures.
• Conduct reviews and prepare reports on the investment adviser’s brokerage practices and best execution.
• Perform Annual Compliance Review, Risk Assessment Review, Employee Compliance Training and Marketing Materials Review
• Engage in special projects, initiatives, and other activities of an ad hoc nature.

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Qualifications:

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• In-depth knowledge of SEC and FINRA broker-dealer regulation and regulatory environment
• Must have a JD & NY State Bar