Compliance Associate

Our client, a prominent global hedge fund with approximately $25 billion in assets, is seeking a Compliance Associate. The firm offers a highly competitive compensation package (base salary and annual bonus), outstanding benefits package, tremendous professional growth potential, and a highly collegial working environment.

Qualifications:

•   Bachelor’s degree

•   5+years working in the compliance department of a SEC adviser/FINRA broker dealer

•  Experience with Code of Ethics, forensic testing, monitoring investment guidelines/restrictions, etc.

•  Worked within compliance department conducting forensic testing related to various aspects of an RIA and/or broker dealer

•  Basic understanding of FINRA broker-dealer rules/requirements is a plus

•  Strong writing and communication skills

•  Strong Excel skills

•  Detail-oriented and organized

•  Able to work independently

•  Series 7 or similar helpful