Hedge Fund/Family Office Consultant - Chief Compliance Officer

Job Title: Hedge Fund/Family Office Consultant Chief Compliance Officer

Join our experienced roster of consultants that support Hedge Funds and Family Offices. Arootah is a personal and professional development leader in the Investment and Financial Services industry. Our mission is to provide top business advisory services to our hedge fund client base. We focus our Business Consulting on the multi-faceted needs of Hedge Funds and Family Offices. Arootah was founded by Rich Bello, the Co-Founder and COO of the industry-leading $10 billion hedge fund, Blue Ridge Capital. Rich brings more than 30 years of experience, including leadership positions at Morgan Stanley, Tiger Management, and Ernst & Young.

Visit us at https://arootah.com/hedge-fund-advisory/ for more information.

WHO WE NEED:

Arootah is searching for experienced Chief Compliance Officers to consult to our highly prestigious client base. As a consultant, you will work with our Hedge Fund and Family Office clients to provide expert advice. Having previously served in this leadership role, you have specific, hands-on experience developing, implementing, and managing a full compliance program for a leading Hedge Fund or Family Office.

WHAT YOU WILL DO AS A CONSULTANT:

Provide advice and guidance to Arootah clients who seek help with their Compliance programs. This will involve consulting to some of the leading Hedge Funds and Family Offices in the world and sharing your experience as a CCO in helping clients with:

• Best practice reviews
• Developing realistic and effective action plans
• Breaking apart goals into actionable steps
• Advising on vendor selection and oversight.
• Creating and implementing policies, procedures, and control measures
• Evaluating each clients advancement toward goal actualization through key performance indicators (KPIs) and scoring matrices
• Special projects or other areas of need

AREAS OF EXPERTISE:

• Directly establish and manage all aspects of the day-to-day compliance functions as well as regulatory reporting and control processes and procedures that focus on requirements across applicable regulatory regimes, including, but not limited to, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and Securities Exchange Act of 1934.
• Create the annual compliance testing as well as periodic regulatory and risk assessment in anticipation of SEC and other regulatory exams and audits.
• Regulatory requirements as it relates to NFA/CFTC registered Commodity Pools, and other compliance-related activities as they relate to these products and/or entities.
• Broker/Dealer knowledge and experience in working with FINRA rules/regulations.
• Extensive experience drafting, updating, and enforcing Code of Ethics and Compliance Manuals.
• Develop the Group's Risk & Compliance program, roadmap, and strategy.
• Design the policies and procedures necessary to ensure compliance on regulatory matters throughout the business development and investor relations process, including investment advisory agreements, side letters, billing arrangements, brokerage practices, and other key terms.
• Create and maintain the firms Form ADV, Parts 1 and 2 as well as regular and periodic regulatory filings.
• Implement employee and new hire training focusing on internal controls relating to insider trading, material nonpublic information, front-running, and other trading/business activity.
• Serve as the firms lead with all regulators and outside service providers to remediate compliance findings identified in internal and external examinations and audits.

QUALIFICATIONS&REQUIREMENTS:

• A Bachelors Degree in Law, Finance, Business Administration, or a related field
• MBA, Juris Doctor, M.S. in Law, or Legal Studies, a plus
• Certifications: Certified Compliance & Ethics Professional (CCEP), or Certified Internal Auditor, a plus
• 12+ years of Compliance experience, with at least 10+ years as a Chief Compliance Officer at a Hedge Fund or Family Office
• Solid experience dealing with Federal securities laws and federal, state, and local regulations guiding financial institutions including, but not limited to, the Investment Company Act of 1940, the Investment Advisers Act of 1940, Securities Exchange Act of 1933, Regulation CF, etc
• Demonstrated experience interacting and managing relationships with regulators
• Outstanding analytical skills, detail-oriented, proactive, and self-motivated
• Comfortable in a role with a degree of ambiguity, requiring proactive analysis and action

PERKS WITH US:

• Become part of a well-funded disruptor in the finance and technology space
• The ability to work remotely
• Flexible hours and ability to choose your assignments
• The hourly consulting rate of pay is expected to be a minimum of $250 and a maximum of $400, per hour. The hourly rate will be determined by several factors which may include, but are not limited to, the length of the individual engagement, level of difficulty, level of specialization required, professional designations, skills, and years of experience.

Be part of a high-energy, thriving company in the early stages of expansion! We are growing our team, now is the time to join!

Job Status: Part-time/Contracted position

Visit us at Arootah.com for more information or check out the video below!

https://vimeo.com/816702321/9ecbafc369