Compliance Associate – Finance & Regs (Fixed Income)

Bracebridge Capital; Boston (MA); On-site; USD 115,000 - 130,000; Full time

Job summary

Bracebridge Capital, LLC in Boston seeks a Compliance Associate to help maintain and enhance the firm’s compliance program, ensuring adherence to SEC and CFTC rules. The role reports directly to the Compliance Officer and involves administering the Code of Ethics, monitoring trading compliance, and supporting firm-wide initiatives.

The position requires a Bachelor’s degree and at least five years in operations, audit or compliance with exposure to financial products; strong integrity, judgment,

Qualifications

• Bachelor’s degree required.
• Minimum of 5 years of professional experience in operations, audit, compliance, or similar role with exposure to financial products.
• Demonstrated professional integrity, sound judgment, and discretion in handling confidential information.
• Strong work ethic, initiative, and a proactive, solutions-oriented approach.
• Proven ability to manage multiple priorities, meet deadlines, and deliver accurate, high-quality work in a fast-paced environment.
• Collaborative team player with excellent organizational, interpersonal, and written and verbal communication skills.
• Experience monitoring personal trading, outside business activities, gifts and entertainment, and political contributions.
• Knowledge of the Advisers Act of 1940 and related rules and regulations a plus.
• Knowledge of fixed income products a plus.
• Knowledge of conflict of interest and related compliance risks a plus.

Responsibilities

• Administer the firm’s Code of Ethics and Personal Trading Policy.
• Monitor trading compliance, including trade allocations.
• Partner with internal stakeholders to support firm-wide compliance initiatives.
• Conduct forensic testing and monitoring across key compliance risk areas.
• Maintain the firm’s Restricted List and assist with MNPI procedures and administration of the firm’s order management system.
• Support the firm’s communications surveillance program.
• Monitor regulatory developments and assist with implementing related policies, procedures, and controls.
• Support the oversight of vendor due diligence.
• Assist in the preparation and submission of regulatory filings.
• Facilitate the onboarding of new employees; conduct initial and annual compliance training.
• Provide ad hoc assistance and support to the Chief Compliance Officer and compliance team when needed

Skills

Microsoft Excel

Microsoft Word

SharePoint

StarCompliance

Education

Bachelor’s degree

Tools

SharePoint

StarCompliance

Job description

Bracebridge Capital, LLC in Boston seeks a Compliance Associate to help maintain and enhance the firm’s compliance program, ensuring adherence to SEC and CFTC rules. The role reports directly to the Compliance Officer and involves administering the Code of Ethics, monitoring trading compliance, and supporting firm-wide initiatives.

The position requires a Bachelor’s degree and at least five years in operations, audit or compliance with exposure to financial products; strong integrity, judgment,