Associate, Compliance

Polymer Capital Japan; New York (NY); On-site; USD 90,000 - 140,000; Full time

Benefits offered by this job

Paid Annual Leave

Medical Group Insurance

Gym reimbursement

DEI and Philanthropy Initiatives

Professional Learning & Development

Job summary

Polymer Capital Management (US), LLC is seeking a highly motivated Compliance Associate to join our growing compliance team. The role is hands‑on and suited to someone who can work independently in a fast‑paced investment management environment and includes monitoring, regulatory support, training and advisory responsibilities.

You will help implement SEC, CFTC, and NFA programs, conduct surveillance, coordinate with trading and legal, and support regulatory filings and investigations.

Qualifications

• Bachelor’s degree in Finance, Economics, Law, or a related field.
• 5-7 years of relevant compliance experience, preferably within hedge funds, asset management firms, or multi-manager platforms.
• Strong knowledge of U.S. regulatory framework (SEC Investment Advisers Act).
• Familiarity with multiple asset classes (equities, derivatives, fixed income, FX).

Responsibilities

• Assist in the implementation and ongoing enhancement of the firm’s compliance program in accordance with SEC, CFTC, and NFA regulations.
• Conduct daily, monthly, and ad hoc surveillance and monitoring, including trade surveillance, e-communications surveillance, PAD reviews, and restricted list/watch list maintenance.
• Support Form ADV updates, regulatory filings, and other periodic reporting requirements.
• Coordinate with trading, capital markets, and legal teams on deal‑related restrictions and wall‑crossing procedures.
• Perform pre‑ and post‑trade compliance checks; assist in onboarding and due diligence processes.
• Maintain and update compliance policies, procedures, and training programs; participate in reviews and testing of internal controls.

Skills

Attention to detail

Analytical skills

Communication skills

MS Office

Ownership mindset

Education

Bachelor’s degree in Finance, Economics, Law, or related field

Tools

Compliance systems

Trading systems

Job description

Company Introduction

Polymer Capital Management is a market-neutral, multi-manager investment platform based in Asia and US, with a primary focus in Asia markets. Polymer combines established institutional support and deep knowledge of local financial markets with a dedication to discovering and developing the region’s best investment talent. Polymer was established in conjunction with PAG, one of the world’s largest Asia-focused alternative asset managers, in 2019.

Job Brief

We are seeking a highly motivated and detail-oriented Compliance Associate to join our growing compliance team within a multi‑manager hedge fund platform. The role is hands‑on and suited to someone who can work independently in a fast-paced investment management environment and includes monitoring, regulatory support, training, and advisory responsibilities.

Regulatory Compliance & Monitoring

• Assist in the implementation and ongoing enhancement of the firm’s compliance program in accordance with SEC, CFTC, and NFA regulations

• Conduct daily, monthly, and ad hoc surveillance and monitoring, including:

  • Trade surveillance (e.g., market abuse, front‑running, insider trading)
  • E‑communications surveillance
  • Personal account dealing (PAD) reviews
  • Restricted list monitoring and watch list maintenance

• Support Form ADV updates, regulatory filings, and other periodic reporting requirements

Regulation M & Market Conduct Compliance

• Support compliance with SEC Regulation M, including:

  • Monitoring for restricted activities during distribution periods
  • Maintaining and updating Reg M restricted lists

• Coordinate with trading, capital markets, and legal teams on deal‑related restrictions and wall‑crossing procedures

Multi‑Manager Platform Oversight

• Work with portfolio managers and trading teams across multiple strategies to ensure compliance with risk limits and internal controls:
• Perform pre‑and post‑trade compliance checks and work with CCO to follow up with portfolio managers and trading teams
• Assist in manager onboarding and ongoing due diligence processes

Policies, Procedures & Controls

• Maintain and update compliance policies and procedures, including the compliance manual and code of ethics
• Assist in rolling out compliance training programs and firm‑wide communications
• Participate in reviews and testing of internal controls and compliance frameworks

Regulatory Filings & Documentation

• Support preparation and submission of regulatory filings (e.g., Form PF, Form ADV, Form D, 13F, 13H, PQR, as applicable)
• Assist in responding to regulatory inquiries, audits, and examinations

Incident Management & Investigations

• Assist in the logging, investigation, and escalation of compliance incidents, breaches, or exceptions
• Perform root cause analysis and track remediation actions

Qualifications & Experience

• Bachelor’s degree in Finance, Economics, Law, or a related field

• 5-7 years of relevant compliance experience, preferably within:

  • Hedge funds, asset management firms, or multi‑manager platforms
  • Exposure to quantitative or systematic trading strategies is a plus

• Strong knowledge of U.S. regulatory framework (SEC Investment Advisers Act)

• Familiarity with multiple asset classes (equities, derivatives, fixed income, FX)

Skills & Competencies

• High attention to detail and strong analytical skills
• Strong communication and interpersonal skills with the ability to engage front office stakeholders
• Proficiency in Microsoft Office; experience with compliance or trading systems is a plus
• Proactive mindset with a strong sense of ownership and accountability

Why join us?

• Prime Location: You’ll work full time from our centrally located office space in Midtown, NY
• High‑Growth: We have a team of highly ambitious professionals with a strong desire to learn and develop their skills.
• Equal opportunity employer: We celebrate diversity and are committed to creating an inclusive environment for all employees.
• Global exposure: With six offices and three affiliate offices around the region, Polymer teams work together to solve meaningful problems on a scale.
• Dynamic and Collaborative Environment: Opportunity to work with industry leaders and experts to engage in exciting projects and fulfilling challenges.

Polymer Capital Management (US), LLC is an Equal Opportunity Employer. We value diversity and are committed to creating an inclusive environment for all employees. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, disability, age, or veteran status.

Some of our Benefits

• Paid Annual Leave
• Medical Group Insurance
• Gym reimbursement
• DEI and Philanthropy Initiatives
• Professional Learning & Development Opportunities