Job Overview – Compliance Associate (Hedge Fund)
Compensation: $100,000 – $200,000/year + bonus
Location: Westchester County, NY
Schedule: Monday to Friday (Hybrid)
Atlantic Group is hiring a Compliance Associate (Hedge Fund) in Westchester County, NY for our client, supporting regulatory compliance and compliance program oversight within an alternative investment management environment. The Compliance Associate will work across Code of Ethics administration, regulatory filings, monitoring and testing, policies and procedures, and broader compliance initiatives. This hybrid role is ideal for a versatile compliance professional with private funds or investment management experience who can independently manage a broad range of responsibilities.
Responsibilities as the Compliance Associate:
- Compliance Program: Support the administration and ongoing enhancement of the firm’s regulatory compliance program.
- Code of Ethics: Manage personal trading, employee attestations, conflicts of interest, and related Code of Ethics activities.
- Regulatory Compliance: Prepare regulatory filings, compliance records, disclosures, and supporting documentation.
- Monitoring & Testing: Conduct compliance monitoring, testing, risk assessments, and periodic reviews.
- Policies & Procedures: Maintain compliance policies and procedures while supporting training and regulatory requirements.
- Compliance Advisory: Partner with legal, investment, and operations teams on compliance matters, regulatory inquiries, and examinations.
Qualifications for the Compliance Associate:
- Education: Bachelor’s degree in Finance, Business, Economics, Legal Studies, or a related field is required, with a JD preferred.
- Experience: 4+ years of asset management, investment management, investment adviser, or related financial services compliance experience is required.
- Industry Knowledge: Strong knowledge of the Investment Advisers Act of 1940, SEC regulations, Code of Ethics requirements, regulatory filings, and investment adviser compliance is required.
- Technical Skills: Experience with compliance monitoring, regulatory reporting, compliance documentation, and Microsoft Office tools is required.
- Skills & Attributes: Strong analytical, judgment, communication, organization, attention to detail, problem-solving, and independent execution skills are required.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.