Opportunities

 

Hedge Fund

Compliance/Legal Associate , New York, NY

Compliance/Legal Associate (New York, NY): Our client, a successful hedge fund manager with over $10B in AUM, has created a new role to work alongside their 4 person legal and compliance team.  This position is being added due to the firm’s continued growth and will offer exposure to all areas of the legal and compliance program.  Specifically, this person will be responsible for working closely with the Deputy CCO and CCO on design, implementation, review, audit and maintenance of a range of compliance programs in U.S. and Europe; maintaining and periodically updating the firm’s compliance documents, lists of legal entities and various compliance logs, as required by the firm’s compliance program; participating in the annual compliance review and preparing regulatory filings (Form ADV, Form PF, Form D, etc.); keeping the office current on compliance issues, trends and upcoming developments; monitoring employee personal trading activity to ensure compliance with the Firm’s Code of Ethics; devising employee compliance trainings and updating and maintaining lists of restricted securities.  The job initially will be focused more around compliance initiatives but the firm is exclusively considering JD candidates as the role will morph into more of a legal role over time.  The ideal candidate will have 2+ years of related compliance experience from another hedge fund, asset manager or compliance consulting firm.  A J.D. Is required, along with a good GPA

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