Regulatory Compliance Lead

2 weeks ago


Greenwich, Connecticut, United States Larson Maddox Full time

Regulatory Compliance Lead – Alternative Investment Firm

Larson Maddox is seeking a skilled Regulatory Compliance Lead to join a prestigious alternative investment firm specializing in macro trading strategies. This role is pivotal in fostering a culture of compliance throughout the organization, ensuring that compliance policies and procedures are effectively implemented and adhered to.

The successful candidate will report directly to the General Counsel and will play a crucial role in collaborating with senior stakeholders across various departments.

Key Responsibilities:

  • Overseeing the entire lifecycle of internal compliance initiatives from conception to execution.
  • Managing requests related to Core Compliance and Personal Trading.
  • Contributing to the Compliance Annual Review process.
  • Executing general compliance functions, including but not limited to researching regulatory matters, providing compliance guidance to business units, and developing policies and procedures.

Qualifications:

  • A minimum of three years of relevant compliance experience within an alternative asset management environment.
  • In-depth understanding of the SEC regulatory framework.
  • Strong organizational and problem-solving skills.
  • Outstanding communication abilities.

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