Hedge Fund

Compliance Analyst, New York, NY

Compliance Analyst (New York, NY):  Our client, a $3b multi strategy hedge fund is seeking a Compliance Analyst to join their lean, but growing team.  This person will have exposure to all areas of the program  and work within one of the most collaborative environments in the industry. 


Key Points: 

·       Great opportunity for someone junior in their career to gain exposure to all areas of the compliance program 

·       Firm is complex and will offer this person a great training ground to learn a variety of topics and issues surrounding all products

·       Firm offers a collaborative environment, allowing this person interaction with all areas of the business (investor relations, trading, marketing, and risk) 

·       Free breakfast and lunch with a gym onsite 


·       Perform forensic testing of the firm’s policies, procedures, in the following areas: personal trading, insider trading, trade allocations, custody, expense allocations, business continuity, side letters and other; assist in developing, maintaining and implementing policies and procedures reasonably designed to prevent violations of the Advisers Act and other applicable laws and regulations and to address risks and conflicts of interest

·       Assist with pre-and post-trade compliance monitoring for secondary offerings; project manage and liaise with third party compliance consultants for independent onsite testing of the compliance program

·       Perform daily surveillance for issues such as market manipulation, regulatory filings and trade errors; maintain compliance logs including cross trade log, custody log, trade error log, code of ethics violation log and customer complaint log

·       Assist with the processing of regulatory filings; assist with organization and maintenance of books and records

·       Participate in due diligence/oversight of firm service providers and executing brokers; assist in the compliance on-boarding and off-boarding of employees

·       Maintain compliance calendar and project-manage departmental initiatives; administer firm proxy voting program

·       Maintain the firm’s business continuity plan; document expense allocation determination memorandum

·       Assist and collaborate with compliance team members (compliance associate, sr. compliance officer and CCO) in various projects and initiatives


·       Highly organized with focused attention to detail; strong written, verbal and interpersonal communication skills

·       Excellent Word, Excel and Powerpoint skills; strong work ethic and desire to learn

·       Ability to manage multiple deadlines; demonstrated interest in finance/Hedge Funds

·       Basic knowledge and understanding of investment management and the Investment Advisers Act of 1940, and/or willingness to learn; Ability to work with colleagues from all parts of the firm, yet function independently

·       Bachelor’s degree with superior academic performance

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