Compliance Associate (Manhattan, NY): Our client, a $3B global equity manager, seeks a Compliance Associate to collaborate closely with the General Counsel and Chief Compliance Officer to assist in all aspects of the firm’s legal and compliance functions and engaging with internal stakeholders as the second member of the Legal and Compliance team. This is a high visibility role that allows the opportunity for this individual to play a key role in managing the firm’s compliance program.

Key Points:

• Excellent chance for career progression and advancement, paving the way for assuming greater responsibilities and eventually transitioning into more senior roles to grow alongside the firm as they continue to expand.
• Report directly into the GC/CCO, who wants to invest into this new hire. She is passionate about teaching/mentorship, and will prioritize their growth, development and learning.
• Great opportunity to be involved in diverse areas as a true generalist
• Key role offering close collaboration with senior management and valuable insights from their expertise.
• Chance to contribute significantly to both the firm and the team and operate at a fast pace.

Responsibilities:

• Reviewing and integrating investment research providers, which involves conducting due diligence and creating accompanying memos.
• Performing regular assessments, including trade surveillance, expense reviews, political contributions, gifts and entertainment, and research practices.
• Review and vet experts for expert network calls, including onboarding documentation and chaperoning interactions
• Managing the firm's annual compliance review.
• Create employee training materials.
• Supporting in the preparation of regulatory filings.
• Collaborating with external compliance consultants and vendors, as needed.

Qualifications:

• Bachelor’s degree.
• 2-3 years of experience working in a compliance compliance role, ideally at a hedge fund.
• Proficiency with Global Relay, ComplianceAlpha, and Verity/Mackey (or equivalent platforms) is advantageous.
• Optimistic, proactive, and open to evolving the role based on the needs of the firm.
• Willingness to work in a fast-paced environment with the desire to take on additional responsibilities with time

Compensation expectations: Base: $120-150k, all in: $150-175k (flexibility dependent on experience)