Fractional Compliance Manager (Advisor Network)

Opportunity Overview  Arootah engages a curated network of senior operators to support clients across the alternative investment industry, including hedge funds, private equity firms, and family offices. Advisors are deployed on project-based engagements when client needs match their expertise. Joining the network does not guarantee placement; it provides access to opportunities as they arise.  Why Join the Arootah Network  Alt-industry-only engagements with hedge funds, private equity firms, and family offices About Arootah

Arootah is a talent solutions firm purpose-built for the alternative investment industry. We advise and we execute, covering the full talent spectrum from entry to exit across five services: Talent Acquisition, Fractional Leadership, Talent Development, Retention & Compensation, and Transition.

Most talent firms solve one problem. Because we cover the full spectrum, we can help clients identify and solve the right one. We start with diagnosis, then deliver.

Our team has run alternative investment firms at the highest levels as COOs, CFOs, and CCOs. That operator experience, combined with 15+ years of alternatives-specific recruiting and a network of 700+ vetted advisors across 18 functional disciplines, is what makes the advice credible and the execution reliable. We also draw on a network of 600+ coaches, deploying those with specific experience guiding senior executives in the alternatives industry.

One industry. One talent partner. Entry to exit.

Learn more: https://arootah.com/

Who We Need Arootah is searching for experienced Compliance Managers and Directors of Compliance to consult to our highly prestigious client base. As a consultant, you will work with our Alternative Asset Firm and Family Office clients to provide expert advice. Having previously served in the role of Compliance Manager, Director of Compliance or similar leadership role, you have specific, hands-on experiencing working directly with/for Chief Compliance Officers in developing, implementing, and managing a full compliance program for a leading Alternative Asset Firm or Family Office.
What You'll Do

• Provide advice and guidance to Arootah clients who seek help with their Compliance programs. This will involve consulting toAlternative Asset Firm and Family Offices and sharing your experience as a Director Compliance or Compliance Manager in helping clients to:

• Develop realistic and effective monthly action plans.

• Identify internal and contextual roadblocks.

• Break apart goals into actionable steps.

• Devise a plan of action for each goal.

• Provide the client with resources associated with implementing their action plan.

• Implement policies, procedures, and control measures.

• Evaluate each client’s advancement toward goal actualization through key performance indicators (KPIs) and scoring matrices.

• Maintain and share detailed and accurate records of consulting results (challenges, breakthroughs, etc.).

• Independent risk management routines to assure proper alignment exists with SEC expectations in anticipation of SEC exams and audits.

• Regulatory requirements as it relates to NFA/CFTC registered Commodity Pools, and other compliance-related activities as they relate to these products and/or entities.

• Broker/Dealer knowledge and experience in working with FINRA rules/regulations.

• Extensive experience drafting and updating Code of Ethics and Compliance Manuals.

• Develop the Group's Risk & Compliance program, roadmap, and strategy.

• Assist the firms’ staff to ensure compliance on regulatory matters throughout the business development and investor relations processes.

• Create and maintain the firm’s Form ADV, Parts 1 and 2 as well as regular and periodic regulatory filings.

• Experience with internal controls relating to insider trading, material nonpublic information, front-running and other trading activity.

• Ongoing employee training and new hire compliance training.

• Proactive compliance support and assuring all regulatory and policy matters are well understood and effectively managed.

• Collaborate with firm management and outside service providers to remediate compliance findings identified in internal and external examinations and audits.

• Facilitate annual regulatory risk assessment and providing senior management with recommendations based on the results.

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