Opportunities

 

Long/Short Hedge Fund

Compliance Associate , New York, NY

Compliance Associate (New York, NY): Our client, a long/short equity hedge fund with north of $2.5 billion in AUM, is looking to hire a Compliance Associate to join their team. This individual will work directly with the General Counsel and Chief Compliance Officer, and will have regular interaction with all members of the firm.

 

Key Points:

  • CCO/GC is fairly hands off and will allow this individual to take ownership and handle all areas of the compliance program day to day
  • Ability to get involved with legal side; as a person shows they are capable, the CCO/GC will pass more of the contracts and legal work to this hire 
  • Great work life balance, benefits, and collaborative environment

Responsibilities:

  • Perform all compliance functions such as oversight of personal trading, gifts, political contributions, oversight of e-mail review, monitoring firm trading and maintaining restricted lists; participate in annual review of all policies and procedures and help oversee compliance audit;
  • Develop, maintain, and take primary responsibility for compliance policies and procedures, and organize and maintain documentation and logs; maintain relevant technology and technological infrastructure which forms part of the firm’s compliance processes;
  • Prepare and file required regulatory filings (ADV, Form D, 13d, 13g, 13H and blue sky filings); design and monitor testing procedures to insure adequacy of compliance program;
  • Develop knowledge of the firm’s trading and operations processes, along with performing other compliance-related responsibilities and special projects as needed.

Qualifications:

  • 2 – 5 years of compliance experience; knowledge of the Investment Advisers Act and the requirements of a compliance and risk program under the Advisers Act; a substantial educational background with an undergraduate degree;
  • Possess excellent communication skills, with the ability to articulate recommendations and general status to the Chief Compliance Officer and have the ability to plan and implement processes and procedures;
  • Hardworking with a friendly collaborative personality to make an impact on a compliance program.
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