Compliance Associate

Rutherford Search; New York (NY); Hybrid; USD 100,000 - 130,000; Full time

Job summary

A leading financial firm based in New York is seeking a Compliance Associate to join their expanding compliance team. This role requires 1-3 years of previous compliance experience, particularly within hedge funds or investment advisory. The position offers a strong opportunity for career progression and allows for hybrid working arrangements.

Qualifications

• 1-3 years of previous compliance experience at a hedge fund or registered investment adviser.
• Strong understanding of the US regulatory landscape.
• FCA & SFC regulatory knowledge would be beneficial.

Responsibilities

• Providing regulatory advice to investment and trading teams.
• Assisting with compliance rules research and policy updates.
• Managing employee trade reviews, certifications, and entertainment requests.
• Assisting in regulatory reporting and filings.
• Supporting global compliance program initiatives.

Skills

Regulatory knowledge

Compliance experience

Research skills

Monitoring and testing

Job description

Our Client

Rutherford are partnered with an expanding multi-strategy hedge fund ($10bn AuM) that are looking to hire into their NY compliance team. The opening offers strong progression and hybrid working.

Main Duties

Key responsibilities for this position will include, but are not limited to:

• Providing regulatory advice to the investment and trading teams.

• Assist with researching new compliance rules and implementing policy update

• Manage process for employee personal trade reviews, employee certifications and employee gift/entertainment requests

• Assist in regulatory reporting and filings, such as Form ADV, Form PF, and 13 Filings

• Code of ethics, trade surveillance, monitoring and testing

• Support the Chief Compliance Officer on global compliance program initiatives

Your Profile

• 1 - 3 years of previous compliance experience at a hedge fund or registered investment adviser.

• Strong understand of the US regulatory landscape

• FCA & SFC regulatory knowledge would be beneficial.

Basic salary range for this position is $100,000 - $130,000

For more information about this position, please get in touch with Jackson Baker.
Email: [e-mail]
Phone: [phone]
Reference Code: 36297

About Rutherford
Rutherford is a boutique search firm located in London. Our consultants are executive specialists in compliance recruitment, and also in financial crime, legal and cyber security, all within the financial and professional services sectors in the United Kingdom and New York. We use our carefully curated relationships, networks and market knowledge to find the best fit for the clients in hand. We work with a wide range of clients, spanning from advisors, management consultants, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms, investment banks and technology firms. We began as a compliance recruitment firm in London and expanded to offer new resourcing expertise across legal and cyber recruitment. We have been a leading legal and compliance search agency in London for a decade and are excited about bringing our expanded offering into the technology area.