Compliance Associate

New York, NY

Job Reference #1783

Our client, an established hedge fund with $13B in AUM, is looking to bring on an experienced and motivated Compliance professional to join their team. The candidate of choice will report to the Chief Compliance Officer.

Key Points

  • Firm is growing rapidly and adding this position due to that growth 
  • Person will focus on trade monitoring, but gain exposure to all areas of the program
  • The firm employs four dedicated compliance professionals
  • This person will have the opportunity to take on as much as they can – no shortage of work and exposure
  • Firm has created a unique culture that is casual and always puts the employees first

Responsibilities

  • Develop and implement surveillance protocol in key areas for all trading desks
  • Identify possible risk areas for trading teams and adjust compliance policies as necessary
  • Review daily trading activity and maintain the Firm’s trade log
  • Prepare for and assist in regular, internal and external risk assessments and reviews
  • Assist in annual employee compliance training sessions

Qualifications

  • Bachelor’s degree and 2+ years of compliance experience
  • Previous trade surveillance experience at a fund or bank
  • High attention to detail, strong organizational skills and the ability to excel in a fast-paced work environment
  • Ability to work independently and effectively communicate with a team