What are the responsibilities and job description for the Compliance Analyst position at Rutherford?
A leading multi-strategy investment manager is seeking a Compliance Analyst to join its New York compliance team. This is an excellent opportunity for a junior compliance professional to build a career within a sophisticated, institutional-quality alternatives platform, with significant exposure to the Code of Ethics program alongside trade compliance and broader regulatory matters.
Responsibilities:
- Administering the firm's Code of Ethics program, including personal trading pre-clearance, employee brokerage account monitoring, and quarterly and annual certifications
- Reviewing and escalating potential violations relating to personal trading, gifts and entertainment, outside business activities, and political contributions
- Maintaining restricted lists and monitoring employee compliance with firm-wide trading restrictions
- Supporting trade compliance monitoring across the firm's strategies, including trade surveillance reviews for potential market abuse, insider trading, and manipulation concerns
- Assisting with position limit monitoring, short sale compliance, and regulatory trade reporting obligations (e.g., Section 13 and Section 16 filings, Form 13F support)
- Supporting compliance surveillance and testing, including forensic reviews of employee and firm trading activity
- Assisting with regulatory filings and examinations, and contributing to compliance policy updates and employee training
- Working with compliance technology platforms (e.g., ComplySci, StarCompliance, MyComplianceOffice or similar) to manage workflows and reporting
Requirements
- 1–3 years of compliance experience, ideally from a hedge fund, investment advisor or broker-dealer
- Working knowledge of the Investment Advisers Act of 1940 regulations is advantageous
- Strong attention to detail, sound judgment, and the ability to handle sensitive information with discretion
Salary : $110,000 - $150,000