Job Description

COMPLIANCE ASSOCIATE – SEC REGISTERED INVESTMENT ADVISORY OR HEDGE FUND EXPERIENCE REQ’D

$ Market Leading + Generous Bonus & benefits Manhattan

Our client is seeking a talented associate to drive the administration of their investment adviser compliance program. Your responsibilities will include:

•Liaising with business partners as well as legal and outside consultants to identify and mitigate compliance risks
•Analyzing the effect of new business initiatives and investment products on the compliance program
•Fielding inquiries from employees and management on compliance matters
•Facilitating an annual review of compliance policies
•Assisting in preparing for and responding to inquiries and audits from regulatory authorities
•Supporting the drafting and maintenance of compliance policies and procedures
•Assisting in the development of regulatory reporting and regulatory filings.
•Conducting forensic tests in several key compliance areas
•Initiating training and drafting training materials
•Monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments

You should have a bachelor’s degree from a top university with 3-5 years of experience as a compliance professional at a mid- or large-sized investment advisory firm/hedge fund that is registered with the SEC (and has preferably been through at least one SEC audit.) This should include a solid understanding of regulatory/self-regulatory agencies (e.g. FINRA, NYSE, FSA, CFTC) and the requirements of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Securities Act of 1933

Please call Gail Hodes on 212-918-4772 to discuss this position or send your details to her at gail@compliancerecruitment.com

Contact: Gail Hodes
Email: gail@compliancerecruitment.com
Telephone 212-918-4772

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Candidates interested in applying to this role should e-mail gail@compliancerecruitment.com.