Senior Compliance Officer

About the position

We are seeking a highly skilled and experienced Senior Compliance Officer to join our dynamic compliance team to support the growth of a highly valued portfolio management team focused on the health care sector. The ideal candidate will grow with this team and should possess extensive expertise leading the development and implementation of a compliance program that mitigates regulatory issues within the hedge fund business while fostering innovation and growth within the business. This role is pivotal in ensuring the operations adhere to regulatory requirements, conducting thorough internal investigations, and developing robust compliance programs. The Senior Compliance Officer will collaborate closely with the portfolio management team, the global compliance team, and other departments to uphold the highest standards of compliance and integrity.

Responsibilities

• Provide expert advisory services to the portfolio managers, ensuring compliance across various markets.
• Offer comprehensive advice on a wide range of compliance and regulatory issues pertinent to a health care focused hedge fund.
• Oversee trading strategies to ensure they align with regulatory requirements.
• Conduct detailed internal investigations into compliance-related matters, identifying and mitigating risks.
• Review, enhance, audit, and maintain compliance programs to meet evolving regulatory standards.
• Develop and implement policies and procedures that reflect changes in business practices, regulations, and emerging issues.
• Prepare for and respond to inquiries and audits from regulatory authorities, ensuring thorough documentation and compliance.
• Administer governance functions and maintain accurate books and records.
• Stay abreast of recent compliance, regulatory, and legal issues, trends, and upcoming developments in the financial sector.
• Work closely with the global compliance team and other departments to ensure cohesive compliance practices.
• Coordinate with local counsel on regulatory or legal issues specific to the markets we operate in.
• Handle additional projects as needed to support the compliance function and drive continuous improvement.

Requirements

• Proven track record in supporting complex equities businesses, with a minimum of 15 years of experience in compliance or regulatory roles within hedge funds.
• Ability to work autonomously to implement the Firm’s compliance program while ensuring cohesive policy implementation across our global organization.
• Strong interpersonal skills to build and maintain relationships with Portfolio Management and broader Compliance Teams, both domestically and internationally.
• Deep understanding of financial regulations and standards, with experience in handling regulatory inquiries and investigations.
• Meticulous attention to detail with a strong focus on accuracy and compliance.
• Excellent team player capable of prioritizing tasks in a fast-paced, high-pressure, constantly evolving environment.
• Ability to work within a small team, acting as a project manager to drive initiatives forward.
• Strong analytical and problem-solving abilities to identify and address compliance issues effectively.
• Comfortable with various technology applications relevant to compliance.
• Broad product and industry knowledge in the financial sector is advantageous.
• Exceptional writing skills to draft clear and concise compliance documentation.

Benefits

• Base salary range of $160,000 to $250,000.
• Discretionary performance bonus.
• Comprehensive benefits package.