Compliance Director / Legal

Profile

Compliance Director / Legal

The candidate will work with Senior Management to promote a culture of compliance; Review the adequacy of the Firm's policies and procedures and the effectiveness of their implementation (e.g. code of ethics governing the personal trading practices of all employees, trade allocation, best execution, surveillance of communications, etc.); Update the Firm's policies and procedures as a result of changes in business activities or operations; Provide training to all employees about the compliance culture and systems in place; Monitor changes to applicable laws, rules and/or regulations; Prepare for the possibility of an SEC examination; Ensure the firm's disclosure documents, compliance policies and procedures and actual business and compliance practices are all consistent; Prepare and file annual update amendments to Form ADV; Prepare and file other reporting obligations of registered investment advisers, such as Form PF, Form 13F, etc; Review legal agreements such as vendor agreements, fund documents, etc.

Company info

Nine Chapters Capital Management, LLC ·
51 JFK Parkway Suite 280
Short Hills
New Jersey
United States 07078
Website : http://www.ninechapterscm.com