Compliance Associate

JCW Group; New York (NY); On-site; USD 110,000 - 140,000; Full time

Job summary

JCW Group partners with a leading global investment firm to hire a Compliance Associate for a front-office advisory role. You’ll work directly with portfolio managers and traders, providing real-time compliance guidance across rates, FX and derivatives.

The role emphasizes practical controls, monitoring, investigations, policy updates, and training, with opportunities to influence trading teams and regulatory responses across global markets.

Qualifications

• JD from an accredited law school and active bar admission.
• Compliance experience supporting trading businesses at a hedge fund, asset manager or broker-dealer.
• Direct coverage of products such as interest rate swaps, sovereign bonds, FX, credit, ABS, commodities and derivatives.
• Strong working knowledge of SEC Rule 10b-5, CFTC Rule 180.1 and MNPI analysis.
• Experience with trade surveillance, pre-trade controls or post-trade investigations.
• Excellent communicator – confident on the phone with PMs and able to explain complex legal concepts simply.
• Sound judgement and collaborative approach.

Responsibilities

• Advising PMs and trading teams on day-to-day compliance matters and embedding practical, real-time controls
• Supporting pre- and post-trade monitoring and investigating potential trading, market conduct and policy breaches
• Reviewing and approving new products, markets, brokers and counterparties
• Leading compliance reviews and investigations, producing clear findings and remediation plans
• Supporting regulatory exams and inquiries relating to trading
• Tracking global regulatory change and turning it into practical policy updates
• Delivering compliance training to investment teams
• Chaperoning calls and meetings between investment professionals and third parties
• Acting as the go-to compliance expert for both the compliance team and the business

Skills

Compliance

Trading experience

Regulatory knowledge

Communication skills

Analytical thinking

Education

JD from law school

Job description

We're currently partnering with a leading global alternative investment firm to hire a Compliance Associate. This is a front-office facing advisory role - you’ll work directly with portfolio managers and traders across the firm’s Global business, providing real-time compliance guidance across rates, FX, emerging markets, credit, ABS, commodities and macro derivatives.

Key Responsibilities:

• Advising PMs and trading teams on day-to-day compliance matters and embedding practical, real-time controls
• Supporting pre- and post-trade monitoring and investigating potential trading, market conduct and policy breaches
• Reviewing and approving new products, markets, brokers and counterparties
• Leading compliance reviews and investigations, producing clear findings and remediation plans
• Supporting regulatory exams and inquiries relating to trading
• Tracking global regulatory change and turning it into practical policy updates
• Delivering compliance training to investment teams
• Chaperoning calls and meetings between investment professionals and third parties
• Acting as the go-to compliance expert for both the compliance team and the business

What we’re looking for

• JD from an accredited law school and active bar admission
• Compliance experience supporting trading businesses at a hedge fund, asset manager or broker-dealer (candidates from law firms or regulators with relevant markets experience will also be considered)
• Direct coverage of products such as interest rate swaps, sovereign bonds, FX, credit, ABS, commodities and derivatives
• Strong working knowledge of SEC Rule 10b-5, CFTC Rule 180.1 and MNPI analysis
• Experience with trade surveillance, pre-trade controls or post-trade investigations
• Excellent communicator – confident on the phone with PMs and able to explain complex legal concepts simply
• Sound judgement and collaborative approach

We are committed to equal opportunity and welcome applications from all qualified candidates regardless of race, colour, religion, sex, sexual orientation, gender identity, national origin, age, disability, veteran status, or any other protected characteristic. All applications will be assessed solely on merit, skills and experience.