What are the responsibilities and job description for the Compliance Associate position at Landing Point?
Compliance Associate (New York, NY): Our client, a growing hedge fund with over $5b in AUM is seeking a Compliance Associate to join their team. This is an opportunity to work directly for a seasoned GC/CCO and gain exposure to all areas of the compliance program.
Key points:
- This position is the only dedicated compliance person working under the CCO
- Exposure to the entire compliance program along with senior management
- The firm is growing and performing very well over the last few years
- Compensation: 150-225k all in, depending on experience
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
- 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)
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.)
Salary : $150,000 - $225,000
