Compliance Associate (Hedge Fund)

Atlantic Group; New York (NY); On-site; USD 100,000 - 200,000; Full time

Job summary

Atlantic Group in Westchester County, NY is hiring a Compliance Associate (Hedge Fund) to support regulatory compliance and program oversight in an asset management environment. This hybrid role requires a versatile professional who can manage a broad range of responsibilities.

Key duties include enhancing the compliance program, managing Code of Ethics activities such as personal trading and attestations, preparing regulatory filings and documentation, and conducting monitoring and testing.

Qualifications

• Bachelor's degree in Finance, Business, Economics, Legal Studies, or related field required; JD is preferred.
• 4+ years of asset management or investment compliance experience is required.
• Strong knowledge of investment adviser regulations and ethics requirements.
• Experience with regulatory filings, monitoring, and testing.
• Proficient with Microsoft Office tools and documentation practices.

Responsibilities

• Support the administration and enhancement of the firm's regulatory compliance program.
• Manage Code of Ethics activities, personal trading, attestations, and conflicts of interest.
• Prepare regulatory filings, compliance records, disclosures, and supporting documentation.
• Conduct monitoring, testing, risk assessments, and periodic reviews.
• Maintain policies and procedures and support training and regulatory requirements.
• Collaborate with legal, investment, and operations teams on inquiries and examinations.

Skills

Analytical skills

Communication

Judgment

Organization

Attention to detail

Problem-solving

Independent execution

Education

Bachelor's degree in Finance, Business, Economics, Legal Studies, or related field

JD preferred

Tools

Microsoft Office

Job description

Job Overview –Compliance Associate (Hedge Fund)

Compensation: $100,000 - $200,000/year + bonus

Location: Westchester County, NY

Schedule: Monday to Friday (Hybrid)

Atlantic Group is hiring aCompliance Associate (Hedge Fund) in Westchester County, NY for our client, supporting regulatory compliance and compliance program oversight within an alternative investment management environment. TheCompliance Associate will work across Code of Ethics administration, regulatory filings, monitoring and testing, policies and procedures, and broader compliance initiatives. This hybrid role is ideal for a versatile compliance professional with private funds or investment management experience who can independently manage a broad range of responsibilities.

Responsibilities as the Compliance Associate:

• Compliance Program: Support the administration and ongoing enhancement of the firm's regulatory compliance program.
• Code of Ethics: Manage personal trading, employee attestations, conflicts of interest, and related Code of Ethics activities.
• Regulatory Compliance: Prepare regulatory filings, compliance records, disclosures, and supporting documentation.
• Monitoring & Testing: Conduct compliance monitoring, testing, risk assessments, and periodic reviews.
• Policies & Procedures: Maintain compliance policies and procedures while supporting training and regulatory requirements.
• Compliance Advisory: Partner with legal, investment, and operations teams on compliance matters, regulatory inquiries, and examinations.

Qualifications for the Compliance Associate:

• Education: Bachelor's degree in Finance, Business, Economics, Legal Studies, or a related field is required, with a JD preferred.
• Experience:4+ years of asset management, investment management, investment adviser, or related financial services compliance experience is required.
• Industry Knowledge: Strong knowledge of the Investment Advisers Act of 1940, SEC regulations, Code of Ethics requirements, regulatory filings, and investment adviser compliance is required.
• Technical Skills: Experience with compliance monitoring, regulatory reporting, compliance documentation, and Microsoft Office tools is required.
• Skills & Attributes: Strong analytical, judgment, communication, organization, attention to detail, problem-solving, and independent execution skills are required.

Application Notice:

Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.