Compliance Associate

Cardea Group; New York (NY); On-site; USD 120,000 - 180,000; Full time

Job summary

Cardea Group, a global hedge fund, is seeking a Legal and Compliance Associate in New York to support its regulatory and legal function. The Associate will report directly to the General Counsel / CCO.

It’s a broad, hands-on role covering nearly every part of the firm’s regulatory and legal framework, including cross-border compliance across its international offices. Responsibilities include supporting the compliance calendar, assisting with filings (Form ADV, Form PF, Form 13F, and Schedules

Qualifications

• 3–5 years of compliance or legal experience in finance.
• Familiarity with Investment Advisers Act and Securities Exchange Act.
• Excellent attention to detail and discretion with confidential data.

Responsibilities

• Support daily operation of the compliance program and Code of Ethics.
• Perform testing and surveillance on personal trading and MNPI controls.
• Assist with regulatory filings such as Form ADV, Form PF, Form 13F.
• Support GC on contract reviews, DDQs, and marketing material reviews.

Skills

Compliance experience

Attention to detail

Communication skills

Education

Bachelor's degree in Law/Finance/related

Securities regulations knowledge

Job description

Legal and Compliance Associate (New York, NY): Our client, an established global hedge fund, is seeking a Legal and Compliance Associate to support its compliance program and legal function. The Associate will report directly to the General Counsel / CCO. It’s a broad, hands‑on role covering nearly every part of the firm’s regulatory and legal framework, including cross‑border compliance across its international offices.

Key Points

• Direct, daily mentorship from the GC/CCO, with visibility to senior leadership and firm committees.
• Exposure to both legal and compliance work, across U.S. and non‑U.S. regulatory frameworks.
• A small, close‑knit team in a fast‑paced environment, with room to grow in responsibility.
• Primarily in‑office in New York.

Responsibilities

• Support daily operation of the compliance program, including the compliance calendar, the compliance manual, and the Code of Ethics.
• Perform compliance testing and surveillance across personal trading, trade allocation, electronic communications, and MNPI controls.
• Assist with regulatory filings, including Form ADV, Form PF, Form 13F, and Schedules 13D/13G, and support non‑U.S. filings and licensing.
• Support the GC on contract review, DDQs, legal research, and corporate governance, and review marketing materials for SEC Marketing Rule compliance.

Qualifications

• 3–5 years of compliance or legal experience, ideally at an SEC-registered investment adviser (preferably a hedge fund), a compliance consulting firm, or a law firm.
• General understanding of the Investment Advisers Act of 1940 and the Securities Exchange Act of 1934.
• Exceptional attention to detail, strong communication skills, and sound judgment with confidential information.