Smith Harvey Associates

CCO-Chief Compliance Officer

SmithHarveyAssociates - Boston, MA


*Manages, implements, and reviews/updates, the compliance program for SEC-registered investment adviser and CFTC-registered commodity pool operator, including training of staff and completion of relevant documentation and review thereof.
*Works with outside compliance consultants to ensure testing of various aspects of the compliance program throughout the year and conducting the annual review and risk assessment on an annual basis.
*Responsible for preparing material for and running quarterly Best Execution meetings with relevant staff.
*Responsible for providing compliance information/documentation to brokers/counterparties conducting initial/ongoing due diligence.
*Responsible for regulatory filings with the SEC, CFTC/NFA and other foreign regulators, as applicable.
*Responsible for reviewing investor (and prospective investor) marketing material for compliance.
*Responsible for reviewing trading and portfolio to ensure compliance with SEC, CFTC/NFA and foreign rules and regulations, including filings with regulators.
*Works with other functional groups to ensure compliance (e.g., marketing/IR, operations, investment/trading) as needed in accordance with the compliance program.
*Liaises with outside counsel in connection with handling legal matters.
*Responsible for AML program and liaising with Cayman AML officers.
*Attends quarterly Board meetings and reports to Board members as part of management report.


*Ability to work independently as a team of one and also in a team setting with members of other functional departments
*Attention to detail and ability to multi-task
*Strong verbal and written communication skills
*Strong interpersonal communication skills

Posted On: Thursday, May 21, 2020

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