REPORTING RELATIONSHIP: Director of Compliance

Specific Responsibilities include:

  • Partner with Director of Compliance to maintain and enhance the Compliance Program.
  • Become the function manager of the Compliance Department responsible for:
    • Forensic testing including; maintaining current testing process and implementing industry best practices for new testing options
    • Regulatory filings including but not limited to; 13F, 13H, Form PF, PQRs and Form ADV
    • Compliance software management including; quarterly affirmations and employee trade surveillance
    • In house training and education program
    • Day to day Compliance Program management; implementing new compliance rules, new hire account set up, etc.

QUALIFICATIONS:

  • Bachelors’ Degree in relevant field of study, JD a plus
  • At least 5 years experience in legal or compliance role; ideally at a registered investment adviser
  • Must be a U.S citizen or authorized to work in the U.S on a permanent basis
  • Willingness to work market hours

SKILLS/KNOWLEDGE:

  • Knowledge of Investment Advisers Act required
  • Knowledge of ‘33 and ‘34 Acts and BD/FINRA regulation a plus
  • Must be highly organized, have strong attention to detail and the ability to meet established deadlines
  • Ability to be resourceful, work effectively as a team player and be able to clearly communicate with individuals at all levels of the organization
  • Be curious about the business of the firm; continually looking for ways to enhance the operational efficiency and effectiveness of the Compliance Program

Parallax offers extremely competitive compensation and benefits, including (not limited to): paid health insurance, all meals during working hours and continuing education opportunities.

Please no calls or recruiters.

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