Compliance Manager in New York, New York at Unifi Asset Management LP

Position Description: Company DescriptionUnifi Asset Management is a quant-driven, credit-derivative oriented, market neutral hedge fund, based in NYC. Founded by a team of seasoned investment and operations professionals, we are dedicated to delivering exceptional value to our investors and creating an environment where our employees thrive. Our mission is clear: to serve our investors with unwavering dedication and uphold the highest standards of integrity and accountability. Equally important is our commitment to our employees we recognize our team members are our greatest asset, which is why we are focused on fostering a supportive and collaborative environment. Join us on our journey to redefine excellence in the hedge fund industry.
Job DescriptionWe are seeking a Compliance Manager to support the development and execution of the funds compliance program in line with the Investment Advisers Act of 1940 and other applicable regulations. This role will report to the CCO and work closely with Counsel, Compliance Advisors, Trade Operations, Portfolio Management, and Investor Relations to support the execution and ongoing enhancement of the firms compliance program and regulatory obligations on a day to day basis. The Compliance Manager will also oversee all aspects of the counterparty onboarding and due diligence processes as well. The ideal candidate is a detail-oriented compliance professional with experience supporting SEC-registered investment advisers or private funds, who communicates clearly, and thrives in a fast-paced, collaborative environment.
Responsibilities

• Support the execution and oversight the fund's compliance program in line with the Investment Advisers Act of 1940 and other applicable regulations
• Maintain, periodically review, and update written compliance policies and procedures and the Code of Ethics
• Conduct ongoing compliance monitoring, risk assessments, and testing covering credit and credit-derivative trading activity, portfolio exposures, valuation practices to identify, assess, and mitigate regulatory risks
• Prepare, review, and coordinate regulatory filings, including Form ADV and Form PF, with a focus on credit strategies and private fund reporting requirement
• Review marketing materials and investor communications, including presentations and factsheets, for compliance with the SEC Marketing Rule
• Oversee administration and monitoring of the Code of Ethics, including personal trading, gifts, and entertainment reporting
• Assist with regulatory exams, audits, and inquiries; coordinate with external consultants and counsel
• Support with onboarding of counterparties, service providers, and trading relationships, coordinating with compliance, legal, operations, and external parties as needed

Requirements

• 46 years of compliance experience with an SEC-registered investment adviser
• Strong knowledge of federal securities laws, including the Investment Advisers Act of 1940 and the Investment Company Act of 1940
• Experience preparing and supporting regulatory filings and managing compliance workflows
• Familiarity with private fund compliance, including Codes of Ethics, personal trading surveillance, and conflicts of interest
• Experience reviewing marketing and investor communications under the SEC Marketing Rule
• Strong organizational skills, attention to detail, and the ability to manage multiple priorities
• Clear written and verbal communication skills and the ability to work effectively with investment, operations, and legal teams
• Exposure to credit strategies or derivatives within an investment management or hedge fund environment preferred

Salary Range $125,000 - $150,000 + Discretionary Bonus + 100% Company Paid Health Insurance + 401K Match