Job Title

Compliance Associate

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Job Description

Title:                         Part-time Compliance Associate

Location:                   New York City

Employer:                 Multi-billion dollar investment firm

Compensation:          Total compensation includes salary and performance-based bonus. Total package will be commensurate with qualifications and experience and competitive relative to market.

Hours/Schedule:       Approximately 25 hours per week; Flexible schedule

Become Part of the Team

The firm operates a growing, dynamic, multi-billion dollar investment firm from our headquarters in midtown Manhattan. We are looking for a motivated individual to administer and help enhance our compliance program. You will be working on a wide variety of compliance matters including regulatory filings and code of ethics compliance. This is an opportunity for you to build on your compliance knowledge while working in a collaborative, team-oriented environment.

What you will do:

Develop an understanding of the firm’s business and the regulatory framework in which it operates
Assist compliance team members in the administration of and ongoing enhancements to certain aspects of the firm’s compliance program including management of the compliance calendar and oversight of recordkeeping

Ensure compliance with the Code of Ethics, including collecting and reviewing personal trading, certification, outside business activities, and political contributions documentation
Ensure that all required regulatory filings are completed on a timely basis and updated as necessary, including Form ADV, Form PF, Form CPO-PQR and Annex IV filings under AIFMD

Assist with the planning and documentation of board meetings

Work with other departments, such as Investor Relations, Operations, and the Investment team on various compliance initiatives

Engage in compliance monitoring and testing

What you have:

1-4 years of experience in compliance at a hedge fund manager, private equity firm, other investment firm, compliance consulting firm, or the asset management or wealth management division of a bank (open to more years of experience provided the candidate understands that this is entry-level work)
Superior organizational skills and the ability to meet tight deadlines
Discretion with respect to confidential information
Proactive attitude
Strong Excel skills
Strong written and oral communication skills
Good judgment
Strong analytical skills
Experience with personal trading compliance software is a plus
Bachelor’s Degree required

What we do:

The firm was founded in 2002 by senior professionals with experience inside hedge funds and has become a top industry performer serving a diverse and growing institutional client base. We are a forty-something person team focused on building a world-class investment company through discipline, analytical rigor, and a results-oriented mindset.

What we have:

Competitive compensation
Work that matters – work with a small team and have a big impact
Flexible work attire – no formal dress code
Quality food – catered meals and a fully stocked kitchen
Great teammates – people with discipline, creativity, intellectual curiosity, and a sense of humor
Exciting culture – analytical, open, collaborative, and collegial

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