What are the responsibilities and job description for the Compliance Manager position at Social Capital Resources?
Fund in Stamford, Connecticut is seeking a Compliance Manager for a full-time position!
Responsibilities:
- Assist with maintaining the compliance program for an SEC RIA (large filer for Form PF)
- Proficient in working with portfolio data to ensure proper pre-trade compliance (restricted list, adherence to investment guidelines as per the PPM, SMA terms)
- Manage all other compliance requirements such as quarterly attestations, personal employee trading
- Ensure all necessary filings are made (13H, Form PF, CFTC exemptions, etc.)
- Inventory and track for adherence to any investor requirements (side letter terms, SMA terms, etc.)
Qualifications:
- Bachelor's Degree
- 3-7 years experience working in compliance at a hedge fund or asset manager
Salary : $130,000 - $150,000