Compliance Associate

Our client, a premier NY-based hedge fund, is seeking a Compliance Associate to join their team! This position offers a unique opportunity to work directly with the General Counsel and Chief Compliance Officer to help manage and enhance the firm’s comprehensive regulatory compliance program. We are looking for a highly motivated, detail-oriented professional with strong working knowledge of U.S. investment adviser regulations and a proactive mindset toward risk management and operational execution.


5 days on-site in Midtown Manhattan

Compensation: $125-200k DOE + competitive benefits


Key Responsibilities:‍

• Collaborate closely with the GC/CCO to maintain and enhance the firm’s compliance program in accordance with SEC, CFTC, and NFA regulatory requirements
• Serve as a key point of contact for internal teams on compliance-related matters, providing timely and practical guidance
• Help manage and track all aspects of the annual compliance review process, including risk assessments and documentation
• Lead or assist in drafting and updating firm policies, procedures, and the compliance manual as regulations and business needs evolve
• Monitor developments in relevant regulatory environments and advise on implications for the firm’s operations
• Oversee and maintain compliance calendars, including regulatory filings (e.g., Form ADV, Form PF, Form 13F, NFA filings), attestations, testing schedules, and =
• training cycles
• Manage the Code of Ethics program including oversight of personal trading, political contributions, outside business activities, and other employee disclosures
• Conduct ongoing and thematic testing and monitoring across business lines to ensure adherence to internal controls and regulatory standards
• Maintain and review core compliance logs, including gifts & entertainment, trade errors, marketing reviews, and whistleblower or internal reporting channels
• Coordinate and support mock audits and regulatory examinations
• Design and deliver compliance training programs for employees across business units, tailoring content to audience needs and regulatory expectations
• Provide compliance onboarding and periodic refresher training to new hires and current staff
• Support internal communications relating to new regulatory developments, policy changes, and compliance expectations
• Manage and liaise with third-party vendors supporting compliance (e.g., trade surveillance tools, compliance technology platforms, employee compliance tracking
• software)
• Assist with oversight of outsourced compliance services (e.g., compliance consultants, legal advisors, fund administrators)
• Help ensure proper documentation and retention of compliance data for audit readiness
• Work across teams—including investment, trading, operations, investor relations, and IT—to advise on business initiatives from a compliance perspective
• Participate in internal control initiatives and enterprise risk management discussions
• Collaborate on compliance-related aspects of fund launches, marketing efforts, investor communications, and international regulatory considerations
  
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Qualifications:

• 3–7+ years of relevant experience in investment adviser compliance, preferably at a hedge fund, asset manager, or compliance consulting firm
• Solid working knowledge of the Investment Advisers Act of 1940, and familiarity with the CFTC, NFA, and related regulatory frameworks
• Experience interacting with SEC, CFTC, or NFA staff is a plus
• Exceptional organizational, communication, and interpersonal skills
• Ability to independently prioritize and manage multiple projects in a deadline-driven environment
• Proactive and pragmatic approach to problem solving and risk mitigation
• Proficiency with Microsoft Excel, Word, and compliance-related platforms (e.g., StarCompliance, MyComplianceOffice, ComplySci, etc.)

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Please submit your resume for consideration!