Compliance Associate, Personal Trading

  • Location: New York, NY, New York
  • Type: Perm (Contingency)
  • Job #31553
  • Salary: $80,000.00

Compensation: $80,000-$115,000 + bonus
Location: New York, NY

Multi-billion Hedge Fund is seeking a Compliance/Personal Trading Associate to join its team. The Compliance/Personal Trading Associate will be in charge of reviewing and approving personal trading, private investment, political contribution, conflicts of interest, outside business activity, and others.

Highlights About the Company & Position:

  • Review and approval of Personal Trading, Private Investment, Political Contribution, Conflicts of Interest, Outside Business Activity, and Gift and Entertainment requests.
  • Maintain internal controls in order to detect violations of company policies and procedures.
  • Schedule and Conduct New hire/Annual compliance training.
  • Assist with enforcing compliance policies. 
  • Onboarding New Hires (Activating STAR Compliance accounts, sending and tracking initial attestations, working with HR and other business lines.)
  • Review and approve employee security accounts (add and remove employee accounts with firm-approved brokers.)
  • Review monthly/quarterly employee brokerage statements.
  • Assist with setting up/tracking quarterly and annual employee Compliance attestations.
  • Preparation and completion of various regulatory filings.
  • Handing ad hoc projects for the Compliance team as they arise.

Requirements/Qualifications:

  • Experience handling Code of Ethics and Personal Trading requests.
  • Ability to manage multiple tasks in a fast-paced environment.
  • Highly detail-oriented and possess strong organizational skills.
  • Team player who is able to collaborate across departments.
  • Strong work ethic and ability to prioritize projects.
  • Ability to work on tasks independently and escalate issues as they arise.
  • 1-3 years of Compliance experience.
  • 4-year Bachelor’s degree.
  • Star Compliance experience is a plus.
  • Proficient Excel skills.


Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

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Job ID: 31553