- Collaborate with investor relations to track subscriptions/redemptions.
- Assist in researching and implementing policy updates.
- Manage employee personal trade reviews and certifications.
- Oversee employee gift/entertainment requests.
- Support firm trade compliance monitoring.
- Review marketing materials and investor engagement requests.
- Coordinate with legal and other departments on regulatory filings.
- Liaise with compliance consultants and service providers.
- Assist in NFA Self-Exam and SEC Annual Review processes.
- Bachelor's degree and 2 to 5 years of compliance experience at an SEC registered investment advisor.
- General knowledge of CFTC and SEC regulatory framework.
- Strong computer literacy and administrative skills.
- Ability to thrive in a fast-paced, collaborative environment.
- Excellent communication and interpersonal skills.
Compliance Associate - Stamford, United States - Taylor Root
Description
Compliance Associate - Growing Hedge Fund
Location: Stamford, CT
Our client is a distinguished macro hedge fund, managing over $1.4 billion in assets across the United States and Europe, with offices in New York City, Stamford and Vienna, Austria. They are seeking a Compliance Associate to collaborate closely with the General Counsel and support their expanding operations.
Role Overview:
As a Compliance Associate, you will partner directly with the General Counsel to develop and implement robust compliance policies and procedures. Your responsibilities will encompass managing compliance task deadlines, tracking subscriptions/redemptions, researching regulatory updates, and facilitating employee personal trade reviews. You'll also assist in trade compliance monitoring, marketing material review, and regulatory filings.
Key Responsibilities:
Experience: