Support front, middle and back office personnel on a wide variety of regulatory compliance issues primarily in compliance with the Investment Advisers Act of 1940;
Daily code of ethics administration (e.g. PA dealing, Gifts & Entertainment, Outside Business Activity, Political Contribution, etc.) via the Star Compliance platform;
Maintenance of restricted trading list and watchlist;
AML/KYC risk-assessment and due-diligence;
Vendor due-diligence;
Daily portfolio management review and monitoring (e.g. trade blotter, positions, trade errors, best execution, allocation, principal/cross trades, etc.);
Daily monitoring of positions/holdings;
Preparation of significant shareholder/short sell filings;
Assist with regulatory filings oversight/co-ordination (e.g. Form ADV, Form PF, Form 13F, Form 13D/G, UK FCA filings, Singapore MAS filings, etc.)
Assist Testing and monitoring of compliance program;
Keeping abreast regulatory developments; and
Ad-hoc projects.
1-3 years of regulatory compliance experience;
Familiarity with U.S. SEC rules and regulations;
Familiarity with private credit, private equity and public credit strategies;
Code of ethics administration experience;
Comfortable working independently, and balancing multiple priorities;
Excellent organizational, oral and written communication skills;
Flexible and capable of prioritizing based on changing internal or external demands; and
