Job Overview – Senior Compliance Associate
Compensation: $150,000 – $200,000/year base ($300,000 All-In)
Location: Greenwich, CT
Schedule: Monday to Friday (Hybrid)
Atlantic Group is hiring a Senior Compliance Associate in Greenwich, CT for our client, supporting regulatory oversight within an SEC-registered investment adviser and hedge fund environment. This hybrid role focuses on managing Form PF and other regulatory filings, overseeing restricted lists and investment guideline monitoring, administering Code of Ethics requirements, and partnering with external compliance consultants to ensure adherence to SEC and CFTC regulations across credit and multi-asset strategies.
Responsibilities as the Senior Compliance Associate:
- Regulatory Filings & RIA Oversight: Maintain the compliance program for a large-filer SEC-registered investment adviser, including Form PF, 13H, CFTC exemptions, and related regulatory filings.
- Pre-Trade & Investment Monitoring: Work with portfolio data to oversee restricted lists, SMA terms, PPM guidelines, and pre-trade compliance controls.
- Investor & Side Letter Compliance: Inventory and track investor requirements, including side letters and separately managed account terms, to ensure contractual adherence.
- Code of Ethics Administration: Manage quarterly attestations, personal employee trading reviews, and ongoing compliance documentation.
- Compliance Operations & Coordination: Partner with external compliance consultants and internal stakeholders to support audits, regulatory reviews, and ongoing compliance initiatives.
Qualifications for the Senior Compliance Associate:
- Education: Bachelor’s degree required (JD or legal background is a plus).
- Experience: 4-8 years of compliance experience within an SEC-registered investment adviser, hedge fund, or alternative asset management firm.
- Industry Knowledge: Strong understanding of the Investment Advisers Act, Form PF requirements, 13H filings, restricted list administration, and hedge fund regulatory frameworks.
- Technical Skills: Experience working with portfolio data, compliance monitoring systems, and Microsoft Office Suite required.
- Skills & Attributes: Detail-oriented, organized, proactive professional with strong communication skills, sound judgment, and the ability to operate effectively in a fast-paced investment management environment.
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.