Fractional Compliance Manager

About the Company

Arootah is a talent solutions firm purpose-built for the alternative investment industry. We advise and we execute, covering the full talent spectrum from entry to exit across five services: Talent Acquisition, Fractional Leadership, Talent Development, Retention & Compensation, and Transition.

Responsibilities

• Provide advice and guidance to clients regarding Compliance programs
• Develop realistic and effective monthly action plans and actionable steps
• Implement policies, procedures, and control measures
• Perform independent risk management routines to align with SEC expectations
• Manage regulatory requirements for NFA/CFTC registered Commodity Pools
• Draft and update Code of Ethics and Compliance Manuals
• Create and maintain Form ADV, Parts 1 and 2 and periodic regulatory filings
• Oversee internal controls relating to insider trading and material nonpublic information
• Facilitate annual regulatory risk assessments and provide recommendations
• Develop and oversee annual compliance testing

Requirements

• Minimum of Bachelor's Degree in Law, Finance, or Business Administration
• 5+ years of compliance experience
• 3+ years as a Director of Compliance, Compliance Manager, or similar level at a Hedge Fund or Family Office
• Solid experience with Federal securities laws (Investment Company Act of 1940, Investment Advisers Act of 1940, etc.)
• Demonstrated experience managing relationships with regulators
• Advanced Microsoft Office Suite skills

Preferred Qualifications

• MBA, Juris Doctor, M.S. in Law, or Legal Studies
• Certified Compliance & Ethics Professional (CCEP) certification
• Certified Internal Auditor certification