Job Description

Role Summary

This position will provide direction and guidance to the investment staff on investment-related matters.  This position will assist in developing policies and procedures to maintain and enhance investment advisor and business unity compliance programs. The position will also lead and support projects to improve compliance processes/programs, including providing support for CFTC and NFA reporting and monitoring.  This will include influencing and guiding senior management on compliance initiatives.  This position is instrumental in maintaining the sufficiency of the overall compliance program in preventing violations of regulatory rules, contractual agreements and TRP policies and procedures.

Responsibilities

will provide direction and subject matter expertise on investment-related matters, evaluating over-the-wall requests, assessing the materiality of information before it can be shared with investment personnel, and working on investment waiver requests related to limitations on the firm’s beneficial ownership of securities
performs a lead role analyzing data and preparing the compliance and regulatory reports and filings the firm must make with the CFTC and NFA, supporting the CFTC/NFA Compliance Officer. In addition, the position leads efforts to complete a compliance and risk questionnaire/self-assessment that must be submitted periodically to the NFA, and gathers records and information from various business units to help respond to regulatory inquiries related to the firm’s investments and trading in commodity interests.

Qualifications

Required

Bachelor's degree and 4+ years of compliance related experience

Preferred

Knowledge of FINRA, SEC and other Regulatory and Self Regulatory Organizations rules and regulations
Excellent interpersonal skills, to include strong influencing skills, in interacting with a diverse group of internal and/or external contacts
Excellent project management capabilities: able to establish project plans, deliver assignments on time and be accountable for results
Strong aptitude for technology and continuous learning
Ability to develop and maintain good working relationships with members of various business units, regulatory agencies and other external contacts
Ability to draft complex documents for the Chief Compliance Officer’s review
Demonstrates willingness to assist others within the group to accomplish common objectives
Exceptional creative thinking and problem solving skills
Knowledge of MS Word, Excel, PowerPoint and Access