Compliance Officer

About the position

Balyasny Asset Management is seeking an experienced Compliance Officer for its New York office. The employee will report to the Deputy Chief Compliance Officer and will work closely with both the Compliance and Legal Departments. The primary focus will be to assist the Compliance Department with the completion of various regulatory filings. In addition to providing compliance oversight to investment and non-investment staff in our US offices.

Responsibilities

• Responsible for completing and submitting regulatory filings and registrations
• Gathering of information for the following regulatory filings: Form PF, 13G, 13H, ADV (part 1, 2), TIC B, SLT, Other international filings
• Assist with Canadian regulatory filings and registrations
• Responsible for the Compliance Annual review process as well as internal audit requests
• Assist the Compliance Department with ongoing regulatory requirements
• Staying up to date on new regulatory changes and how they can impact the business
• Work closely with the Compliance team on Code of Ethics related questions and reviewing of potential conflicts
• Updating the compliance manuals, if necessary, changes are to be made
• Assist in reviewing internal marketing materials
• Handling of compliance inquiries and providing oversight and guidance to the investment and non-investment staff
• Assist with enforcing compliance policies and procedures

Requirements

• Bachelor's Degree required
• 10 years minimum compliance or legal experience with an investment adviser or broker-dealer
• Management experience is required
• Strong organizational and research skills
• Ability to juggle multiple tasks when necessary
• Ability to work independently and excel in a high intensity environment
• High standard of professionalism in all dealings with internal staff and any external partners, clients, and regulatory agencies
• Strong written and verbal communication skills
• Outstanding attention to detail