Job Description

SENIOR COMPLIANCE ASSOCIATE – INVESTMENT ADVISORY OR HEDGE FUND EXPERIENCE REQ’D
Ref: 1458H

$ Generous + Exceptional Bonus & Benefits
New York

Our Client, a leading Hedge Fund, is seeking a talented and experienced associate with investment advisor/trading compliance experience to play a key role in the organization, administration, and enforcement of the compliance program.

•Liaising with business partners as well as legal and outside consultants to identify and mitigate compliance risks.
•Drafting and maintaining compliance policies and procedures; researching and addressing compliance matters involving information access.
•Fielding inquiries from employees and management about compliance-related matters.
•Assisting in the development of regulatory reporting and filings and in the preparation for, and response to, inquiries and audits from regulatory authorities.
•Analyzing the effect of new business initiatives, investment products, and markets on the compliance program.
•Monitor industry-wide compliance initiatives, as well as important federal, state, non-US regulatory developments and their potential impact on the Firm’s compliance program.

You should have a bachelor’s degree from a top university and at least 7 years of experience as a compliance professional at a mid- or large-sized investment advisory firm/hedge fund that has a sizable operation in trading equities and is registered with the SEC, having been through at least one SEC audit. You will also have 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 at 212-918-4772 for a confidential discussion about this position or send your details to: gail@compliancerecruitment.com

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.