Commonfund Wilton, CT, USA
Sep 20, 2017Full time
The Compliance Officer, Investments, assists in the day-to-day administration of Commonfund's compliance program, helping Commonfund regulated entities meet all applicable regulatory compliance requirements. Primary responsibilities include the following: Assist the Chief Compliance Officer in administering Commonfund compliance programs so as to ensure compliance with all laws and regulations applicable to Commonfund's investment advisory, commodity and/or limited broker-dealer activities in the United States and/or elsewhere. Manage and coordinate the regulatory affairs of Commonfund Asset Management, Inc. ("Comanco"), Commonfund Capital, Inc. ("CCI"), including its Beijing Representative Office and its wholly-owned subsidiary, Commonfund U.K., Ltd. ("CCI UK"). Prepare on behalf of Comanco, CCI and/or CCI UK various reports and other materials for filing with the SEC, NFA, FCA, OSC and/or other regulatory agencies or other entities, including, as appropriate, coordination with other Commonfund employees in connection with same. Prepare metrics reports and conduct other compliance testing or reviews relating to Comanco, CCI and/or CCI UK, including, as appropriate, coordination with other Commonfund employees and/or consultants in connection with same. Develop, establish and implement appropriate procedures to ensure compliance with Commonfund policies relating to Comanco, CCI and/or CCI UK and/or their investment advisory and/or commodity activities, and monitor adherence to same. Oversee the day-to-day administration of Commonfund's personal trading policy, and monitor adherence to same. Monitor registration, licensing and training requirements for Comanco, CCI and CCI UK employees, and monitor adherence to same. Provide compliance training, support and assistance to Comanco, CCI and CCI UK and their respective employees. Assist the Chief Compliance Officer and other members of the compliance team in reviewing, revising and updating compliance policies and procedures as required, including based on business, legal and/or regulatory developments. Assist the Chief Compliance Officer and other members of the compliance team in conducting compliance-related due diligence on current and prospective managers. Review advertising and marketing materials as required. Act as a liaison with regulatory agencies as required. Complete special projects and other compliance assignments as required.