Compliance Manager
June 3
Description
• Provide advice and guidance to Arootah clients who seek help with their Compliance programs. This will involve consulting to some of the leading Hedge Funds and Family Offices in the world and sharing your experience as a Director Compliance or Compliance Manager in helping clients to: • Develop realistic and effective monthly action plans. • Identify internal and contextual roadblocks. • Break apart goals into actionable steps. • Devise a plan of action for each goal. • Provide the client with resources associated with implementing their action plan. • Implement policies, procedures, and control measures. • Evaluate each client’s advancement toward goal actualization through key performance indicators (KPIs) and scoring matrices. • Maintain and share detailed and accurate records of consulting results (challenges, breakthroughs, etc.).
Requirements
• Minimum of Bachelor’s Degree in Law, Finance, or Business Administration, or in a related field. • MBA, Juris Doctor, M.S. in Law, or Legal Studies a plus. • Certifications: Certified Compliance & Ethics Professional (CCEP), or Certified Internal Auditor a plus. • 5+ years compliance experience, with at least 3+ years as a Director of Compliance, Compliance Manager or similar level at a Hedge Fund or Family Office. • Solid experience dealing with Federal securities laws and Federal, state, and local regulations guiding financial institutions including, but not limited to the Investment Company Act of 1940, the Investment Advisers Act of 1940, Securities Exchange Act of 1933, and Regulation CF, etc. • Demonstrated experience interacting and managing relationships with regulators. • Excellent written and verbal communication skills. • Advanced computer skills – Microsoft Office Suite. • Outstanding analytical skills, detail-oriented, proactive, and self-motivated. • Collaborative, diplomatic, and can cross-functionally partner with different internal stakeholders. • Experience in/comfort with a role with a degree of ambiguity, requiring proactive analysis and action. • Proven to work independently, prioritize work, and achieve results. • Ability to quickly build rapport and work with a team.
Benefits
• Develop realistic and effective monthly action plans. • Identify internal and contextual roadblocks. • Break apart goals into actionable steps. • Devise a plan of action for each goal. • Provide the client with resources associated with implementing their action plan. • Implement policies, procedures, and control measures. • Evaluate each client’s advancement toward goal actualization through key performance indicators (KPIs) and scoring matrices. • Maintain and share detailed and accurate records of consulting results (challenges, breakthroughs, etc.).
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