Buy Side Compliance Associate

in Financial Services
  • New York, NY View on Map
  • Salary: $90,000.00 - $130,000.00
Permanent

Job Detail

  • Experience Level Mid Level
  • Degree Type Bachelor of Science (BS)
  • Employment Full Time
  • Working Type Hybrid
  • Job Reference 0000008026
  • Salary Type Annually
  • Industry Hedge Fund
  • Selling Points

    Broad compliance role at a great hedge fund in NYC!

Job Description

Duties:

  • Assist with annual compliance review, preparation of annual report on policies and procedures
  • Develop, review and revise policies and procedures
  • Assist with employee compliance training and development and new hire onboarding
  • Assist with preparation of information and coordination for SEC and NFA examination  
  • Assist with regulatory filings and internal controls requests (e.g. ADV, PF‐PQR, and other state and federal filings,
  • SOC, annual audit).  
  • Perform periodic back‐testing of policies (e.g., Allocation Policy, Valuation Policy, Code of Ethics, Compliance
  • Manual, etc.)  
  • Perform required annual diligence on administrator anti‐money laundering procedures
  • Ongoing preparation and maintenance of committee and board meeting minutes  
  • Assist with compliance surveillance (e.g., email surveillance, political contributions preclearances, personal
  • trading preclearances, etc.)
  • Lead or assist in special projects

 

Qualifications: 

  • Bachelor’s degree in relevant field required 
  • 2-5 years of Experience in buy side asset management compliance
  • 1940 Act knowledge
  • Experience in the financial services industry, with a focus on legal or compliance functions 
  • Demonstrated knowledge of regulatory requirements 
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