Compliance Associate

Founded in 1999, Viking Global Investors (“Viking”) is a global investment firm with a long-term, fundamental, research-intensive approach to investing. Viking manages over $55 billion of capital across public and private investments. Viking has offices in Stamford, New York, Hong Kong, London, and San Francisco, and is registered as an investment adviser with the U.S. Securities and Exchange Commission. For more information, please visit www.vikingglobal.com.

JOB FUNCTION

The Compliance Associate will work closely with other members of the Legal and Compliance Department and other departments throughout the firm on a wide spectrum of issues and initiatives.

RESPONSIBILITIES

• Surveillance. Action various tasks based on insights produced by employee compliance, electronic communications, and trade surveillance software platforms.
• Forensic Testing. Manage, organize, and interpret large datasets to derive sound conclusions for compliance monitoring and reporting.
• Risk Identification and Mitigation. Proactively anticipate and address compliance risks, developing and implementing effective solutions that are technology and process driven.
• Education. Educate employees on compliance risks and policies with a confident and proactive approach.
• Independent Operator. Execute tasks independently, exercising sound judgment and intellectual curiosity in compliance matters and escalating determinations to senior compliance personnel as needed.
• Partnerships. Build and maintain strong collaborative relationships with internal stakeholders and external partners at all levels of seniority.
• Policy and Procedures. Contribute to the continuous development, implementation, and enhancement of compliance policies and procedures.
• Maintaining awareness of evolving regulation and best practices. Stay informed about relevant securities laws, regulations, and industry best practices.

QUALIFICATIONS

• A Bachelor’s degree with an outstanding academic record.
• Minimum of two (2) years of experience with Registered Investment Adviser (RIA) compliance.
• Prior compliance experience within buyside firms (e.g., hedge funds, private equity, multi-strategy asset managers), investment banking, or RIA consulting is preferred. A compliance-related designation (e.g., IACCP, CRCP) is a plus.
• General understanding of the Investment Advisers Act of 1940 and other pertinent securities laws and regulations. Familiarity with non-U.S. regulatory regimes (e.g., FCA, SFC) is a plus.
• Experienced with compliance surveillance platforms; communicates clearly and confidentially with a commitment to responsiveness; operates independently with strong ability to determine when prompt escalation is warranted; builds and sustains high-trust relationships internally and externally.
• Commitment to continuous learning and the development, implementation, and enhancement of compliance policies and procedures.
• Combines strong analytical rigor and large-dataset fluency with exceptional attention to detail to complete tasks.
• Highly inquisitive with strong investigative skills, and a confident, proactive approach to educating employees on compliance risks and policies.
• Ability to thrive in a fast-paced, high-accountability environment, operating with the highest degree of urgency, integrity, and sound judgment.

The base salary range for this position in New York City is $100,000 to $140,000. In addition to base salary, Viking employees may be eligible for other forms of compensation and benefits, such as a discretionary bonus, 100% coverage of medical and dental premiums, and paid lunches. Actual compensation for successful candidates will be individually determined based on multiple factors including, but not limited to, a candidate’s skill set, experience, education, and other qualifications. For more information on our benefits, please visit www.vikingglobal.com/life-at-viking/

Viking is an equal opportunity employer. Questions about your candidacy and requests for reasonable accommodation in the recruitment process should be directed to recruiting@vikingglobal.com.