Senior Compliance Associate

Senior Compliance Associate (New York, NY)

Our client, a hedge fund with approximately $5B in AUM, is seeking a Senior Compliance Associate to join their dynamic and collaborative team. This newly created position will report directly to the CCO and be the 4th person to join compliance with broad exposure to all areas of the program.

• CCO is an exceptional mentor with a keen interest and proven history of promoting the professional development of their team
• Newly-created role on a high-performing compliance team
• Ability to work as the sole compliance professional in the Miami office or join the NYC team
• Broad compliance generalist responsibilities in a high-visibility role with an established and growing hedge fund with a track record of success.

• Develop, implement, and maintain compliance policies and procedures, and recommend opportunities for improvement
• Design and conduct training on relevant topics
• Keep apprised of developments in the regulatory environment, including industry best practices and initiatives, to implement updates to the compliance program
• Assist in managing regulator inquiries, including conducting relevant research and formulating draft responses
• Oversee the preparation and coordination of the firm’s annual compliance review and any regulatory examinations
• Analyze information gathered through the firm’s surveillance systems to proactively identify potential issues
• Assess internal workflows and reports, identifying and addressing opportunities to improve and/or automate practices
• Monitor firm activity to identify regulatory filing requirements and prepare such filings
• Provide guidance on compliance issues to employees as appropriate and collaborate with third-party providers/outside counsel

• 7 to 10 years of experience in the financial services space
• Demonstrated knowledge of the Investment Advisors Act
• Ability to work in-person in the firm’s Miami/NYC office 3 days per week
• Strong preference for candidates with experience in roles with hedge funds and/or regulatory bodies
• High level of professional discretion, capable of maintaining confidentiality in a role with visibility to privileged information
• Energetic, detail-oriented, and highly organized, with a history of proactively pursuing additional responsibility