Pharo Management
Pharo is a global investment firm focused on macroeconomic trends with an expertise in developing countries$1. .$1
51 - 200
Compliance Associate
June 15
🏢 In-office - Manhattan
Pharo Management
Pharo is a global investment firm focused on macroeconomic trends with an expertise in developing countries$1. .$1
51 - 200
Description
• We are looking for a Compliance Associate in our NY office. This position is varied in scope and the individual will be responsible for day-to-day coverage of the Compliance monitoring program. The Compliance Associate will be responsible for Code of Ethics (COE) monitoring, review and approval of marketing materials, new employee onboarding, conduct trade error analysis, manage counter-party compliance background checks/3rd party service provider due diligence, and Best Execution analysis.
Requirements
• 5-7 Years experience with a Hedge Fund managing private funds or from Investment Banking with Investment Adviser managing private funds • Fully versed with SEC Investment Advisers Act/ COE • Experience with CFTC/ NFA requirements for Commodity Pool Operator (CPO) • Experience with market manipulation trade compliance • Regulatory Filing experience: Form ADV, Reg D, 13F, 13H, Form PF, CPOPQR, NFA annual filings, CFTC Form 40 • Bachelor’s degree
Benefits
• Exact compensation may vary based on skills, experience, and location. • $100-130k annual salary
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