Hedge Fund Compliance

Job Title:

Sr Associate – Compliance

Job Description:

KEY RESPONSIBILITIES

• Develop internal policies and procedures and current regulatory guidance with respect to marketing and other related compliance matters, and assist maintaining broader L&C policies and procedures.
• Develop educational materials and trainings for business professionals.
• Assess current and prospective regulatory risk through industry interaction and research.
• Review marketing materials, due diligence responses, investor communications, and other fundraising and reporting-related materials (e.g. quarterly letters, recordings, memoranda, etc.) across various investment strategies from a legal, regulatory, and compliance perspective;
• Supervising a variety of regulatory filings with the SEC, CFTC / NFA, and other international regulatory bodies, in collaboration with Rialto’s operations and finance teams.
• Assisting in management of all aspects of trade restrictions including analyzing potential MNPI, clearing trades, and maintaining the restricted list on an ongoing basis.
• Work with team in responding to requests from regulators, preparing for regulatory examinations, and conducting mock examinations in conjunction with external consultants and counsel.
• Supporting the implementation and maintenance of the firms’ compliance programs.
• Engaging in meaningful interactions with Rialto’s investment and operational professionals on a wide range of business matters.
• 1940 advisory Act