Job Overview – Compliance Associate (Hybrid):
Join our hedge fund client’s team as a Compliance Associate in New York, NY, where you'll play a key role in regulatory compliance, training, and policy management. This hybrid position offers the chance to collaborate on compliance initiatives and ensure the firm adheres to all regulatory requirements.
Total Compensation: $125,000 – $150,000/year (All-In)
Location: New York, NY
Schedule: Monday to Friday (Hybrid)
Responsibilities as the Compliance Associate:
- Compliance: Assist with annual compliance review, policy updates, and the preparation of the annual report on compliance activities.
- Policy Management: Develop, review, and revise compliance policies and procedures as necessary.
- Regulatory Filings: Prepare and coordinate information for SEC and NFA examinations, as well as other filings like ADV, PF/PQR, and SOC reports.
- Policy Testing: Conduct periodic back-testing of compliance policies, including Allocation Policy, Valuation Policy, and Code of Ethics.
- Diligence: Perform annual due diligence on anti-money laundering procedures.
- Surveillance: Monitor compliance activities such as email surveillance and pre-clearances for trading and political contributions.
Qualifications for the Compliance Associate:
- Education: Bachelor’s degree in a related field required.
- Experience: 2-5 years of Compliance experience in investment advisory, hedge funds, private equity, asset management, or consulting.
- Knowledge: Familiarity with US regulatory requirements, including the Advisers Act (NFA/FINRA knowledge is a plus).
- Skills: Strong communication, organizational, and analytical abilities, with attention to detail and capacity to manage multiple tasks under tight deadlines.
- Preferred: Knowledge of investment strategies like equities, commodities, or structured credit is advantageous.
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.