Hedge Fund Compliance Associate

Atlantic Group

United States

On-site

USD 100,000 - 130,000

Full time

14 days+

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Benefits offered by this job

401(k)

Vision insurance

Medical insurance

Job summary

A financial services firm is seeking a Compliance Associate for its cross-functional operations team. The role involves developing and maintaining compliance programs, ensuring regulatory adherence, and preparing necessary reports and disclosures. Candidates should have at least two years of experience in compliance related to registered investment advisers. The position offers benefits such as 401(k), vision, and medical insurance and is based in the New York City Metropolitan Area.

Qualifications

Minimum 2 years of compliance experience with registered investment advisers.
Familiarity with regulatory reporting and required filings.
Strong understanding of regulatory frameworks for private funds.

Responsibilities

Develop and maintain compliance programs in accordance with SEC regulations.
Monitor compliance with applicable laws and regulations.
Prepare and collaborate on regulatory reports and disclosures.

Skills

Regulatory compliance expertise

Knowledge of Anti-Money Laundering (AML)

Understanding of Know Your Customer (KYC)

Experience with ESG regulations

Strong understanding of investment advisers

Job description

Base pay range

$100,000.00/yr - $130,000.00/yr

$12Bn Hedge Fund looking for a Compliance Associate that will be an integral part of the fund's cross‑functional operations team and will work closely with Legal, Accounting, and Investor Relations professionals. The Compliance Associate will assist the General Counsel and Chief Compliance Officer oversee the entirety of the firm's compliance program.

Key Responsibilities

Compliance Monitoring
- Develop, implement, and maintain comprehensive compliance programs in accordance with SEC regulations and industry standards.
- Monitor and ensure adherence to all applicable laws, rules, and regulations governing investment advisers and private funds.
- Conduct periodic compliance reviews and assessments to identify and address potential compliance issues.
- Collaborate with compliance consultants to complete required compliance tasks.
- Support the General Counsel and Chief Compliance Officer’s initiatives relating to development and updating of compliance policies, procedures, and controls to mitigate risks and ensure adherence to regulatory requirements.
- Be responsive to employee inquiries regarding compliance matters, ethical standards, and best practices.
- Administer the firm’s compliance management system, ensuring accurate tracking, documentation, and implementation of compliance‑related activities.
Regulatory Reporting and Filings
- Prepare and collaborate on required regulatory reports and disclosures, including Form ADV, Form PF, and other relevant filings.
- Stay updated on regulatory developments and assist in interpreting regulatory changes for the organization.

Key Qualifications

Expertise in regulatory compliance relevant to SEC‑registered investment advisers, either as an in‑house compliance professional or compliance consultant.
Familiarity with Anti‑Money Laundering (AML) and Know Your Customer (KYC) requirements, and experience administering such programs.
Familiarity with ESG related matters, regulations, and reporting frameworks, such as the EU Taxonomy or Sustainable Finance Disclosures Regulation (SFDR) or other international frameworks, is desirable.
A minimum of 2 years of experience in compliance related to registered investment advisers, with previous experience in the private equity or investment management industry desired.
Strong understanding of the regulatory environment for private funds and investment advisers.
Experience working on non‑disclosure agreements is preferred but not mandatory.

Benefits