Compliance Associate Job Description
Stormfield Capital is an institutional private credit manager focused on the origination and acquisition of short-dated private mortgages. An SEC registered investment advisor, Stormfield manages a portfolio of funds and separately managed vehicles with committed capital of over $650 million.
The Compliance Associate role is a full-time position reporting to the CCO. The Compliance Associate is responsible for supporting the COO in ensuring that the firm adheres to regulatory requirements, internal policies, and industry best practices. This role involves assisting with monitoring, testing, reporting, and administrative tasks to maintain the firm’s compliance with applicable laws and regulations, particularly those set forth by the Securities and Exchange Commission (SEC), the Cayman Islands Monitory Authority (CIMA) and other governing bodies.
Job Duties:
1. Regulatory Compliance Support
a. Assist in maintaining and updating the firm’s compliance procedures and policies.
b. Monitor the firm’s adherence to the firm’s Code of Ethics and Compliance Policies, including items such as personal trading, personal brokerage account openings, political contributions and gift reporting.
c. Support the preparation, filing and maintenance of regulatory filings such as Form ADV, Form D, Blue Sky filings, etc.
2. Testing and Reviews
a. Assist in the preparation of documentation and reports for testing, reviews or regulatory examinations.
b. Conduct periodic and ad-hoc reviews of compliance policies and procedures and subsequently draft findings and recommendations.
3. Recordkeeping
a. Ensure compliance with record retention policies and Books and Records Rule.
b. Maintain organized and secure compliance records, including client files, contracts and regulatory documents.
c. Review and record new limited partner subscription, redemption and transfer documentation.
4. Training and Communication
a. Assist in new hire and annual compliance training.
b. Serve as a point of contact for compliance related queries from employees and limited partners.
5. Other duties
a. Support COO in special projects
b. Assist in responding to limited partner due diligence requests pertaining to compliance related functions.
Qualifications:
· Bachelor’s degree with 2 to 6 years of experience at an SEC regulated Registered Investment Advisor managing private funds as defined under the “1940 Act,” or an independent compliance consultancy advising managers of private funds.
· Excellent communication skills with the ability to address and resolve inquiries in a professional manner
· Proficiency with Microsoft Excel
· Must be able to take initiative and work independently, efficiently and possess excellent organization and prioritization skills.
· Ability to be in office in Southport, Connecticut location
This position offers a path to Deputy COO and/or COO for high achievers.
Salary and Benefits:
· Commensurate with experience
· 401k
· Paid vacation
· Medical, Dental and Vision Insurance
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