Job Title: Compliance Officer – Investment Advisor
Corporate Title: VP
Reports to: Managing Director, Chief Compliance Officer
Leerink Partners LLC, a leading investment bank specializing in healthcare, seeks a Compliance Officer experienced in Adviser Act and other Fund-related compliance issues for its newly formed Investment Adviser affiliates. The ideal candidate will have hands-on experience in running the compliance effort for private equity and hedge funds. This is a newly created role designed to implement the compliance infrastructure, while adding value and insight to its anticipated growth trajectory.
Primary Duties and Responsibilities:
Code of Ethics – maintenance and implementation of policies ensuring operational alignment with the Code of Ethics
Insider Trading – review of employee trading and portfolio to ensure compliance
Information Barriers – ensuring confidential information stays confidential – appropriate separation from the broker dealer and affiliates, including the investment banking group
Marketing material – responsible for the approval of all Investment Adviser marketing material. Work in conjunction with the business unit and Head of Marketing and Communications to ensure timely and accurate investor communications, pitchbooks, letters
Written Supervisory Procedures – ensure maintenance and adherence to the Investment Adviser written supervisory procedures
Communications/Email Review – responsible for the overall review of employee communications for the Investment Adviser business, including review of the email traffic
Regulatory filings – responsible for timely and accurate completion of Form ADV and other regulatory requirements
Other reviews mandated by the Advisers Act and WSP’s
Adherence to and update/maintenance of the Investment Adviser annual compliance calendar
BA/BS degree required.
Minimum 5-7 years’ experience in hedge fund/private equity compliance roles, either in-house, or compliance consulting group.
SEC Investment Adviser registrations and filings
Attention to detail with adherence to process, policies and change management. Self- starter who will be proactive
Ability to work well with a team, and interact professionally with all areas of the firm
Proficient in Microsoft Outlook, Word, Excel and PowerPoint
Please email your resume to: firstname.lastname@example.org and reference “Compliance Officer – Investment Advisor” in the subject line. Thank you for your consideration.