Senior Compliance Associate Job Details

COMPANY

Stark Investments and its affiliated group of companies encompass investment management and securities trading activities around the world.  Based in Milwaukee, Wisconsin, with additional offices in London, Toronto, and Chicago, Stark Investments currently employs over 200 people.  The Firm provides administrative and investment management services to a family of private investment vehicles with capital in excess of $4 billion (USD).

Stark Investments is comprised of multi-strategy funds that tactically invest on a global basis across asset classes that include equity markets, debt markets, derivatives, commodities, private equity and real estate.  These funds use a variety of investment strategies in order to achieve attractive, risk adjusted returns.  Among the strategies employed are convertible arbitrage, risk arbitrage, event driven trading, fundamental long/short, fixed income trading, statistical arbitrage, distressed investing, and private placement transactions.

POSITION PURPOSE

The responsibilities of the position are to provide primary regulatory and compliance guidance to Stark Investments (UK) LLP.  Duties will include handling regulatory issues, supervising and maintaining compliance procedures and policies, filing European and Asian position holdings reports and handling local employment matters.

RESPONSIBILTIES

• Advising the General Counsel and Chief Compliance Officer on compliance with applicable laws and regulations, and assisting with developing regulatory strategies for existing and new lines of business.
• Supervising and maintaining compliance procedures and policies for all aspects of an international securities operation such as insider trading, risk assessment, anti-money laundering, records retention, personal trading, etc.
• Identifying compliance issues associated with new markets, offices and personnel.
• Identifying weaknesses and offering efficient solutions to any aspect of the Firm's investment process, expanding and/or validating the Firm's internal audit functions, implementing necessary changes to any particular process, procedure or policy, and highlighting regulatory changes in a timely fashion.
• Conduct reviews of third-party and affiliated service providers.
• Identifying and assisting with the Firm's foreign regulatory filings.
• Keeping the General Counsel and Partners appropriately aware of issues that significantly impact the Firm and staying abreast of developments in the law that may have an impact on the Firm's businesses.
• Assist with local employment and Human Capital related matters.

QUALIFICATIONS/REQUIREMENTS

• The ideal candidate for this position is an individual with a solid working knowledge of the regulatory environment in Europe and the United States, a solid working knowledge of the alternative investment space; a law degree would be preferred but is not required.
• The candidate must have experience working with a regulatory agency, a registered investment company or investment advisor, or a law firm with a similar focus.
• The candidate must be able to work in a demanding environment, be able to make sound decisions in a timely manner, and be able to assess risk in a practical manner.

http://www.starkinvestments.com/