Compliance Associate

New York, NY

Job Reference #1781

Our client, a successful long/short hedge fund with over $1B in AUM, is looking to add a motivated and bright compliance professional to join their team in NYC. The candidate of choice will be reporting directly to the Chief Compliance Officer on all related compliance duties and have peers within the legal function.

Key Points

  • Opportunity to work for a CCO who is excited to mentor and train someone 
  • Firm is doing exceptionally well – steadily growing and offering a stable platform
  • CCO is someone we know, respect, and adore – she is kind, thoughtful, and a tremendous mentor
  • Ideal role for someone with an authentic interest in the investment management space to build a career within legal and compliance 
  • Firm promotes a team-oriented environment

Responsibilities

  • Assist in regular trade surveillance and review communications/materials for the investment team 
  • Provide support with annual regulatory examinations while providing testing and reporting
  • Manage employee compliance training and oversee routine employee reviews
  • Maintain relationships with outside vendors and ensure compliance with firm’s policies and procedures
  • Serve as an internal resource for the investment team and update internal policies, procedures and other information as needed

Qualifications

  • Bachelor’s degree and 3 to 5 years of relevant compliance experience
  • Demonstrated understanding of the Investment Advisors Act of 1940, Investment Company Act and Securities Act
  • Ability and confidence to proactively catch and manage potential compliance issues
  • Commitment to a career in regulatory compliance strongly preferred
  • Ability to work independently as well as part of a team in a fast paced, demanding environment