What are the responsibilities and job description for the Compliance Officer position at Partnership Employment?
Hedge Fund is looking to hire a Compliance Officer
- As a member of the compliance team, assist in the management of the 206(4)-7 and 38a-1 compliance programs, including oversight of the Investment compliance testing and monitoring program for Business Development Company (BDC).
- Maintain and demonstrate a thorough understanding of the regulations applicable to investment-related activities and stay abreast of regulatory developments and industry best practices.
- Assist in the portfolio compliance monitoring program. Manage the review of investment guideline warnings, related to exemptive relief and affiliated transactions and alerts and any matters for escalation.
- Assist in the preparation of compliance specific board and oversight committee materials, including the production of BDC board materials, and other reporting as needed.
- Assist in the oversight and management of the restricted list for the BDC.
- Assist with due diligence of service providers, including sub-adviser, fund administrator, transfer agent, and distributor due diligence visits and questionnaires.
- Implement and enforce effective compliance policies and procedures in accordance with applicable laws and regulations.
- Assist with Form ADV updates.
- Perform other Investment compliance related duties, as assigned.
Salary : $125,000 - $175,000