Compliance Analyst - Alternative Investments

Compliance Analyst - Alternative Investments

Outstanding opportunity to join the team of a leading alternative investment firm!  Hatteras Funds, based in Raleigh, North Carolina, is seeking a talented professional with the necessary experience and skills to successfully assist with management of compliance programs and initiatives for our firm.  We are expanding our compliance team and this new position will be based in our Raleigh office.  

Our Mission:
Hatteras Funds' mission is to provide unique alternative investment solutions for financial advisors and their clients. We believe that all investors should have access to the same sophisticated investment approach and superior portfolio management talent as the largest institutions.  A boutique alternative investment specialist founded in 2003, Hatteras Funds offers a suite of innovative products designed to solve specific portfolio needs.  

Our Culture:
Hatteras Funds takes pride in our firm's commitment to world-class service and providing unique alternative investment solutions for financial advisors and their clients.   We are excited about our future and we are always looking for top talent who possess a high degree of personal integrity and the drive to not settle for second best, but work hard to be the best, each and every day.

If you have the desire and talent to be an integral part of a dynamically committed and expertly skilled team, Hatteras Funds may be the place for you!  

Key Responsibilities will include:
- Work with the Chief Compliance Officer (CCO) to support firm-wide compliance programs and initiatives.  Assist with oversight of compliance programs for the firm's registered investment advisors, registered investment companies and affiliated broker/dealer
- Assist with compliance review and approval of fund marketing materials
- Work with the CCO to conduct initial and ongoing due diligence on sub-advisers
- Review fund regulatory filings, documents, correspondence, and advertising materials for compliance and keep abreast of ongoing changes in the regulatory environment
- Perform periodic, substantive, or forensic testing of documented compliance processes and procedures.  Document Code of Ethics testing and prepare reports for the Board of Directors
- Assist with coordination of all regulatory examinations and audits for the funds, investment advisors, and/or broker/dealer  
- Effectually maintain all books and records as required,  pursuant with applicable regulations and keep entities current on all regulatory filings
- Communicate pertinent information with regulatory agencies, outside counsel, auditors, members of the various Funds' Boards of Directors, third party vendors and contractors
- Attend various compliance seminars and training sessions and effectively communicate the contents of the presentations to the firm's associates

Critical Success Factors:
- Previous work experience with alternative investment companies, mutual fund companies, registered investment advisors, broker/dealers, regulatory agencies or financial institutions in compliance with SEC, FINRA, AML and related regulations
- Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933
- Demonstrated leadership skills with the ability to make concise, informed decisions
- Excellent verbal and written communication skills
- FINRA Licenses: S7, S24, S66 will be required within three months of hire
- Exceptional organizational skills including sharp attention to detail and impeccable follow-through
- Ethically responsible when handling highly sensitive and confidential materials and matters with utmost professionalism and discretion