Investment Advisory Firm

Senior Compliance Associate, New York, NY

Senior Compliance Associate (New York, NY): Our client, a steadily growing and successful hedge fund with over $5B in AUM, is seeking a Senior Compliance Associate to join their team in NYC.   In conjunction with a Compliance Associate, this individual will work directly with the fund’s CCO/CFO in handling all daily aspects of the compliance program.  Specifically, the Senior Compliance Associate will assist with designing new compliance policies and procedures to address regulatory initiatives; maintain the firm’s compliance program, compliance calendars, regulatory filings, etc.; coordinate all SEC filings and updates including Form ADV, 13F, 13G, and Form PF; handle periodic testing of compliance policies; organize compliance meetings; and assist and coordinate NFA and CFTC filings including Forms CPO-PQR and CTA-PR.  This is an exciting opportunity for a compliance professional to play a critical part in this established business.  The ideal candidate will have 3-5+ years of experience within financial services, preferably from a hedge fund, law firm, traditional asset manager, or a compliance consulting firm.  The candidate must have excellent organizational and multitasking skills, strong attention to detail, be an effective communicator, proactive, and motivated. Microsoft Office skills and knowledge of the 1940 Act are necessary.

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