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Compliance Manager

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Compliance Manager

Salary/rate

$ 7200 to $ 8500 per month

Location

New York, UNITED STATES

Posted

November 25 2018

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Description

We seek an experienced and highly talented Compliance Manager to join the Legal and Compliance team. The candidate must be ambitious, adaptable, well organized, and have high morals. The candidate qualified for this job would work closely with the Chief Compliance Officer in designing and implementing policies, procedures, and internal controls that would support the operation and the constant growth of the investment management business of PDT.
The candidate would have to have a full and clear knowledge of the applicable laws, regulations, and the fiduciary responsibilities of PDT which has a workplace with a high performance and a unique culture.

Main responsibilities:

- Administering every aspect of the core compliance program of PDT
- Developing and administering the internal compliance managing systems including the technology or surveillance of the proprietary and a third party
- Preparing regular and ad hoc regulatory filings, such as Form ADV, Form PF, Form 13F, Form D, or Form G, and European short selling reporting
- Regulating the field and making investor inquiries
- Drafting, maintaining and enforcing policies and procedures
- Managing the compliance programs’ annual review
- Training staff and reinforcing the Code of Ethics and other policies and procedures of PDT
- Coordinating the implementation of technical solutions with developers to enhance the compliance infrastructure
- Keeping up to date on the regulatory developments, identifying the potential issues and their impacts, and giving solutions
- Working on a range of special projects and initiatives with stakeholders across the firm

Requirements:

- A Bachelor’s Degree from a top and reputable university with a stellar academic record, a J.D is not required
- A minimum experience of 5 years in relevant work at an SEC-registered investment adviser, broker-dealer, or any other financial institution
- A smart and curious individual driven by the desire to have a deep understanding of complex issues and providing solutions to difficult problems
- An individual that is thorough, conscientious, and very attentive to detail
- Motivation to always do the right thing, and a leader by example
- A collaborative individual that contributes to an intellectual and friendly team
- Ability to communicate orally and verbally, efficiently and clearly
- Skills in Microsoft Office, especially Excel, is a plus
- Experience with Unix environments, analyzing and manipulating data using software, and ability to code or script is an advantage

Job Type

Permanent

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