Opportunities

 

Hedge and Private Equity fund

Compliance Associate - Research, New York, NY

Compliance Associate – Research (New York, NY): Our client, one of the most reputable and successful hedge and private equity firms with a longstanding record of over 20 years, is seeking a motivated and detail-oriented compliance professional with a focus on research compliance to join their team. This new hire will be assessing a range of investment research and alternative data providers as it relates to distinct policies and procedures, with a goal geared towards ensuring best practices within regulatory compliance.  While this expertise is required for the role, this new hire will be given a ton of exposure to the full scope of the firm’s compliance program.  The firm is growing steadily in terms of assets and the organization promotes a culture of idea generation, automation, and being open.   

 

Key Points: 

  • Firm has a tremendous reputation for running a lean, extremely successful and collegial team
  • Organization has diverse investment product offerings exposing this individual to multiple fund types and investment products 
  • This is a newly created position allowing this new hire to get involved in major initiatives and make a name for him/herself
  • Compensation is among THE MOST competitive in the fund world 

Responsibilities:

  • Perform ongoing compliance due diligence on investment research and alternative data providers
  • Improve vendor management policies and procedures, keeping abreast with changes in the evolving regulatory developments
  • Stay up to date with rulemaking and guidance, specifically with respect to alternative data and investment research providers
  • Coordinate with both external providers and key stakeholders within the business, to balance the commercial needs and regulatory best practices; create appropriate documentation and reports in response to inquiries and audits from regulatory authorities
  • Manage legal and compliance workflow as it relates to alternative data and investment research providers, ensuring timely responses to the business’s requests
  • Participate in the broad sweep of compliance surveillance and monitoring functions, overseeing all areas of the business
  • Assist the team with reviewing outside vendors; assess and vet the risks associated with external research providers as it relates to MNPI and related legal and regulatory issues 
  • Collaborate with counsel to review agreements including confidentiality agreements, vendor contracts, and terms of services provided
  • Learn and become an expert in areas of Investment Advisers Act and other related securities laws, rules and regulations
  • Support CCO and Legal & Compliance Team across other major initiatives as necessary 

Qualifications:

  • 3 – 5 years of relevant compliance experience within investment research compliance and alternative data; excellent academic pedigree
  • Knowledge of issues related to the investment advisory industry such as MNPI and related risks
  • Demonstrated collaborative and constructive interaction with key stakeholders outside of compliance, specifically with investment analysts and research teams
  • Comfortable taking on a wide variety of responsibility, while working independently and as part of a cross-functional team; must possess a keen sense of prioritization while being diligent, curious, thorough and logical with a commitment to follow through
  • An appreciation for the role of research and alternative data in the investment processes; this person should have a commercial instinct, sound judgement, discretion and a willingness to express a point of view
  • Ability to work closely with parties internally and externally, posing difficult questions with ease

 Job Reference #1704

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