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Compliance Associate/Senior Associate - Hedge Fund

Salary undisclosed

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Our hedge fund client is seeking a Compliance Associate to join its team in Connecticut, and support its continued growth. This role offers a unique opportunity to be part of a dynamic, rapidly expanding hedge fund. The Compliance Associate will work in a generalist capacity, working alongside the compliance team and contribute to the development and implementation of the firm’s compliance policies and procedures

Key Responsibilities

  • Oversee compliance task deadlines.
  • Collaborate with investor relations on tracking subscriptions and redemptions.
  • Assist with researching new compliance regulations and updating policies.
  • Manage processes for personal trade reviews, employee certifications, and gifts/entertainment requests.
  • Support trade compliance monitoring.
  • Review marketing materials for compliance.
  • Assess investor engagement requests.
  • Work with legal and other departments on regulatory filings.
  • Coordinate with compliance consultants and other service providers.
  • Contribute to NFA Self-Examinations and SEC Annual Reviews.

Qualifications

  • Bachelor’s degree required.
  • 1-5 years of compliance experience with an SEC-registered investment adviser.
  • Familiarity with CFTC and SEC regulatory guidelines.
  • High attention to detail.