Our client is a distinguished macro hedge fund, managing over $1.4 billion in assets across the United States and Europe, with offices in New York City, Stamford and Vienna, Austria. They are seeking a Compliance Associate to collaborate closely with the General Counsel and support their expanding operations.
Role Overview:
As a Compliance Associate, you will partner directly with the General Counsel to develop and implement robust compliance policies and procedures. Your responsibilities will encompass managing compliance task deadlines, tracking subscriptions/redemptions, researching regulatory updates, and facilitating employee personal trade reviews. You'll also assist in trade compliance monitoring, marketing material review, and regulatory filings.
Key Responsibilities:
Collaborate with investor relations to track subscriptions/redemptions.
Assist in researching and implementing policy updates.
Manage employee personal trade reviews and certifications.
Oversee employee gift/entertainment requests.
Support firm trade compliance monitoring.
Review marketing materials and investor engagement requests.
Coordinate with legal and other departments on regulatory filings.
Liaise with compliance consultants and service providers.
Assist in NFA Self-Exam and SEC Annual Review processes.
Experience:
Bachelor's degree and 2 to 5 years of compliance experience at an SEC registered investment advisor.
General knowledge of CFTC and SEC regulatory framework.
Strong computer literacy and administrative skills.
Ability to thrive in a fast-paced, collaborative environment.