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    Compliance Associate

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      Compliance Associate

      Stamford, Connecticut

      $110k to $130k (negotiable depending on experience) + plus discretionary bonus

      Permanent

      Description
      A macro hedge fund is currently seeking a motivated Compliance Associate to join its Stamford team and contribute to our growth. This is an exciting opportunity to join a fast-growing hedge fund with a highly collaborative culture. The Compliance Associate will work directly with the General Counsel to develop and implement compliance policies and procedures.

      This position will be based in the firm’s Stamford, CT office.

      Responsibilities

      • Manage compliance task deadlines
      • Work with investor relations to track subscriptions/redemptions
      • Assist with researching new compliance rules and implementing policy updates
      • Manage process for employee personal trade reviews, employee certifications and employee gift/entertainment requests
      • Assist with firm trade compliance monitoring
      • Assist with review of marketing materials
      • Review investor engagement requests
      • Work with legal and other departments on regulatory filings
      • Liaise with compliance consultants and other service providers
      • Assist with NFA Self-Exam and SEC Annual Review

      Requirements

      • Bachelor’s degree
      • 3-5 years of compliance experience at an SEC registered investment adviser
      • General knowledge of CFTC and SEC regulatory framework
      • Attention to detail

      Benefits

      • Competitive compensation commensurate with level of experience.
      • Comprehensive benefits package including medical, dental, vision, 401(k), insurance, Summer Fridays, and wellness reimbursement.

      Posted by

      Mark Foy

      Managing Director

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