Senior Compliance Associate

New York, NY

Job Reference #1912

Our client, a multi-strat fund with over $10B in assets and a global presence, is eager to bring on a competent Senior Compliance Associate. This candidate will join the global team and report to the General Counsel & Chief Compliance Officer.  This position can be elevated to a VP level for the right candidate.

Key Points:

  • The role offers the opportunity to collaborate with a team responsible for oversight and counsel in connection with the firm’s legal, compliance, and regulatory obligations
  • This a great opportunity for career advancement, and a path toward a more senior role
  • The firm maintains stable assets and has an established and strong reputation in the industry

Responsibilities:

  • Overseeing the Code of Ethics process, marketing material review process related to the firm’s commingled investment funds and accounts
  • Contributing to the 206(4)-7 Annual Review and Regulatory Reporting process
  • Identifying, interpreting, and preparing for new rules and regulations applicable to the firm
  • Support Trade surveillance, monitoring, and testing; and involvement in special projects

Qualifications:

  • A Bachelor’s degree from an accredited college or university
  • 4-7 years of compliance experience at a registered investment adviser
  • With direct exposure to areas such as the Code of Ethics, marketing review, trade compliance, regulatory reporting (preferably on a global scale), and general investment management compliance
  • Understanding derivatives strategies and a grasp of intricate financial products is advantageous
  • The ideal candidate should possess humility, a results-driven mindset, and the adaptability to respond to rapidly changing circumstances and priorities

Compensation: $140-170K base (+/-) + approximately 20% bonus