Job Description

Compliance Professional

To assist our hedge fund clients and their investors in responding to new regulations and regulatory best practices, particularly in the areas of Anti-Money Laundering and FATCA compliance, we are seeking a compliance professional to join our Compliance team. This person will be responsible for analyzing investor and fund documentation in support of AML, FATCA, and other compliance and regulatory mandates, and for supporting other compliance initiatives.

This position will have the following specific responsibilities:

• For complex investors (such as layered or opaque entities or investors with multiple jurisdictions), review and analyze investor documentation (such as formation and organic documents, tax documents, identity verification documents) in order to identify and resolve AML and FATCA issues;
• Provide subject matter expertise to the investor services team and to our fund clients in the areas of AML and FATCA compliance, identity theft best practices, and fraud control procedures;
• Act as an escalation point for the investor services team and fund managers in matters requiring communication and resolution of investor documentation deficiencies and inquiries;
• Effectively communicate and document, both internally and externally, the results and conclusions of investor documentation analysis;
• Research new regulations, alerts, updates, interpretations and their potential effect on our clients, services, and operations, and distill and communicate recommendations and conclusions for internal and external dissemination;
• Draft and finalize Compliance procedures and initiate Compliance projects in support of company and fund client compliance obligations;
• As needed, assist with review of fund documents (including subscription agreements and private placement memoranda) for new or existing clients; and
• As needed, assist in providing corporate secretarial services and corporate governance support to offshore funds, including preparation and distribution of director resolutions and board meeting agendas, minutes and other materials, and acting as a liaison with directors, counsel, and the registered office to coordinate director and other corporate governance matters.

The ideal candidate has:

• A sound understanding of investment manager and fund regulatory, governance, and compliance obligations;
• 7+ years of experience in a legal, compliance, or risk management capacity with an SEC registered investment adviser, fund administrator or other regulated financial institution;
• 7+ years of experience reviewing and analyzing legal formation documents such as documents provided for AML identify verification (such as foundation charters, trust documents, LLC agreements), tax documents, and regulatory guidance, including both US documents and non-US documents; and
• A proven track record of researching regulations and developing compliance procedures in support of those regulations, all in a fast-paced dynamic environment.

The ideal candidate is:

• Comfortable and highly proficient in verbal and written communications with individual investors, institutional investors and fund managers, and has particular proficiency and sensitivity communicating complex matters;
• The consummate team player listens well and values the input of his or her colleagues;
• Highly proficient in the use of Microsoft Office (including Word and Excel) and Adobe 9 Pro or Adobe 10 Pro, including proficiency with combining, extracting and deleting files;
• Highly organized and exceptionally detailed; and
• Accustomed to managing multiple priorities.

Education and Professional Designation Requirements: Four year college degree, preferably in Business, or with legal studies, or para legal studies. Graduate degree (JD or MBA) and/or relevant professional designation (such as ACAMS) preferred.

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