Compliance Associate

New York, NY

Brief Description:

Our client, a successful multi-strategy hedge fund manager with approx. $2.5B in AUM, has a need to hire a sharp and motivated compliance professional to their team.   This is an exceptional opportunity for an individual to work in a collaborative  environment while gaining experience across all aspects  of  the compliance program.

Job Function:


The Compliance Associate will be actively involved in:  

  • monitoring personal trading
  • fund trading reviews
  • maintenance of the restricted list
  • preparation of regulatory filings (13F,  13H, 13D, U.S. Treasury, Blue Sky and foreign regulatory filings, etc.)  
  • proxy voting
  • email reviews  
  • maintenance of compliance calendar
  • compliance trainings
  • ongoing/annual testing of policies
  • vendor due diligence.  




The ideal candidate will have 2  - 8 years of compliance  experience from either a compliance consulting firm or asset manager.

Contact Details:

Steve Cebel

914-524-0301 ext 126