Job details

Compliance Associate

Pharo Management is seeking a Compliance Associate to join our NY office. The individual will be responsible for day-to-day coverage of the Compliance monitoring program.

Skills

5-7 Years experience with a Hedge Fund managing private funds or from Investment Banking with Investment Adviser managing private funds.
Fully versed with SEC Investment Advisers Act/ COE.
Experience with CFTC/ NFA requirements for Commodity Pool Operator (CPO).
Regulatory Filing experience: Form ADV, Reg D, 13F, 13H, Form PF, CPOPQR, NFA annual filings, CFTC Form 40.
Bachelor’s degree.

Responsibilities

Responsible for Code of Ethics (COE) monitoring including personal trading, electronic surveillance, compliance certifications, political contributions, gifts & entertainment, and more.
Review and approval of marketing materials.
Conduct trade error analysis.
Manage counter-party compliance background checks/3rd party service provider due diligence.