Navier-Stokes Capital Management LLC · 1 day ago
Head of Compliance
New York, United States
Full-time
Onsite
Director/Executive
7+ years expNavier-Stokes Capital Management LLC is a research-driven investment platform focused on uncovering persistent, repeatable alpha in public markets. The Head of Compliance will develop, implement, and oversee the compliance program, ensuring adherence to regulatory requirements and advising the firm's partners on compliance matters.
Financial Services
Responsibilities
Develop, implement, administer, and continuously enhance the firm’s Compliance Manual and related policies and procedures
Act as the primary contact for all SEC, FINRA, and other regulatory examinations, inquiries, and audits
Prepare and file all required documentation, including Forms ADV and PF, accurately and on time
Design and execute a robust annual compliance testing and monitoring program covering key areas including: Insider Trading, Information Barriers, and MNPI, Portfolio and Trading Monitoring (e.g., Personal Trading, Code of Ethics, Best Execution), Marketing and Advertising Materials, Fund Valuation Processes, Cybersecurity and Data Privacy Protocols, Third-Party Vendor Management
Lead firm-wide compliance training sessions to educate employees on regulatory requirements and foster a strong culture of compliance
Conduct annual and ad-hoc compliance risk assessments, presenting findings and recommendations to the Management Committee
Administer the firm's Conflicts of Interest Policy and oversee employee personal trading pre-clearance and reporting
Oversee compliance-related technology systems for communication surveillance and trade monitoring, ensuring all electronic records are maintained in accordance with SEC rules
Qualification
Required
Bachelor's degree in Finance, Business, Law, or a related field. A JD or advanced degree is strongly preferred
7-10+ years of progressive compliance experience within an SEC-registered investment adviser, with a mandatory focus on hedge funds or asset management
A minimum of 3-5 years in a head of compliance or Deputy CCO role, with a proven track record of independently leading the compliance function
Demonstrated, hands-on experience serving as the primary contact and successfully managing SEC examinations
Deep, applied knowledge of the Investment Advisers Act of 1940, insider trading laws, SEC marketing rules, and other relevant regulations
Strong experience with complex financial instruments (e.g., derivatives, swaps)
Thorough understanding of hedge fund operations, including prime brokerage relationships, fund structures, and valuation principles
Unquestionable integrity and professional ethics with the confidence and authority to make difficult decisions
Exceptional communication and interpersonal skills, with the ability to effectively influence and collaborate with investment professionals, senior management, and the board
Proactive, hands-on, and detail-oriented with the ability to anticipate risk and implement practical solutions
Ability to operate effectively and autonomously in a fast-paced, entrepreneurial setting
Preferred
Experience building or substantially rebuilding a compliance program from the ground up
Background in a quantitative or high-frequency trading environment
Established network and deep knowledge of the hedge fund industry landscape
Company
Navier-Stokes Capital Management LLC
Navier-Stokes Capital is a research-driven investment platform focused on uncovering persistent, repeatable alpha in public markets.
Founded in 2025New York, US
11-50 employeesFunding
Current Stage
Early StageCompany data provided by crunchbase