Garda World Security
Compliance Director
Dallas, TX, United States
Job Description Job Title: Compliance Director Department:
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Job Title: Director of Compliance
Firm Summary: A SEC-registered investment adviser that employs an event-driven long/short equity investment strategy focused on the biotechnology sector. The firm launched in 2016 and invests in both the public and private markets on behalf of hedge funds and separate account clients.
Position Responsibilities:
Manage the firm’s compliance calendar and assist with preparation of regulatory reports (Section 13 filings, Form ADV, Form PF, etc.) to ensure all regulatory requirements are met
Perform testing of policies and procedures to assess adherence and effectiveness and document the results in coordination with the firm’s compliance consultant
Conduct electronic communication surveillance for compliance risks including MNPI, Code of Ethics obligations, and other compliance issues
Maintain the firm’s Restricted List and conduct trade surveillance related thereto and other compliance policies
Review marketing materials (firm presentation, DDQ, investor letters, monthly performance report, etc.) to ensure adequate disclosures and support is maintained
Administer the firm’s Code of Ethics, including the monitoring of all compliance reporting obligations and pre-clearance requests (employee personal trading, etc.)
Update policies and procedures and training materials for regulatory developments, changes in business practices, and recommended improvements
Draft periodic compliance communications to the firm and assist with compliance trainings
Complete regulatory certifications, external requests for compliance information and other compliance program administrative duties, such as maintenance of all compliance records
Interact with CEO, CIO and COO/CCO on various analyses, projects, and initiatives
Develop/document processes and procedures, identify enhancements and remedial actions and evolve the role to continuously adopt best practices and reduce risk
Qualifications:
Bachelor’s degree required
Minimum 3 to 5 years employment in a compliance role (strong preference for in-house experience at an RIA or compliance consulting firm working with hedge funds)
Strong knowledge of the Investment Advisers Act of 1940 and other rules and regulations applicable to investment advisers and private funds
Proficiency with Excel required; experience with Smarsh, My Compliance Office, and portfolio management systems beneficial
Superior written and verbal communication skills; exceptional attention to detail
Ability to spot issues, multi-task, work independently or collaboratively, and willingness to take ownership and accept any task that will benefit a growing organization
Excellent project management, organizational skills, work ethic, morals and integrity
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