Hedge Fund

Compliance Associate , New York, NY

Compliance Associate (New York, NY): Our client, a leading hedge fund with north of $5B in AUM, is looking to bring on a talented compliance professional to join their thriving team.  This new hire will report and work with the General Counsel/Chief Compliance Officer on all compliance matters.


Key Points:

·      Opportunity to work in a #2 capacity under a knowledgeable GC/CCO who “will teach this person everything they need to know to become a CCO”

·      Individual will be given a lot of substantive work and will have the ability to work autonomously

·      Position faces off with every internal group so this is a high visibility role within a reputable organization


·      Perform compliance testing and monitoring; oversee the third-party compliance consultant who conducts annual reviews and forensic testing

·      Assist with SEC/NFA examinations, regulatory reporting and filings; maintain and update the firm’s compliance calendar

·      Ensure compliance with Code of Ethics requirements; apply changes to the firm’s compliance program, keeping up to date with changes in the business and/or new regulatory requirements

·      Perform ad hoc projects for the GC/CCO


·      3-6 years of compliance experience, preferably with an asset manager, compliance consulting firm or similar financial services firm; bachelors degree with a strong academic pedigree

·      Knowledge of Investment Advisers Act of 1940 and CFTC regulations is a plus; proficient with MS Office

·      Ability to maintain high level of discretion and confidentiality; must be detail oriented and extremely organized

·      Ability to manage daily tasks and various projects simultaneously; comfortable working independently, with a desire to take on new responsibilities over time

Job Reference #1356

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