Compliance Associate

Compliance Associate – Hedge Fund

Highlights:

• Broad exposure across the entire hedge fund compliance function
• High-volume, hands-on role with meaningful learning and advancement potential
• Collaborative, supportive team environment with strong mentorship
• In-office culture with limited remote flexibility (WFH every other Friday; additional summer flexibility)

Key Responsibilities:

• Work closely with the GC/CCO and Legal & Compliance teammates to help design, implement, and administer the compliance program
• Support monitoring of the investment research process
• Perform ongoing monitoring and testing of trading activity for compliance with securities laws, including maintenance of restricted and sanctions lists
• Review employee personal trading activity and compliance certifications using compliance systems (e.g., personal trading, pre-clearance, attestations)
• Assist with proxy voting administration and class action filings
• Review and track updates to marketing materials for compliance with the SEC Marketing Rule
• Partner with Accounting and outside counsel on required regulatory disclosures
• Create and deliver compliance trainings
• Complete investor due diligence questionnaires and respond to ad hoc investor requests
• Monitor and enforce policies and procedures in accordance with the Compliance Manual
• Assist with preparation and delivery of monthly compliance attestation reports
• Conduct monthly and ad hoc electronic communications surveillance
• Support AML/KYC reviews for fund counterparties
• Assist with preparation of the annual compliance program review

Qualifications:

• Bachelor’s degree or equivalent
• 1-4 years of relevant experience (compliance, paralegal, or similar background)
• Strong proficiency in Excel, PowerPoint, and Word
• Highly organized, detail-oriented, and able to manage multiple priorities
• Strong analytical and problem-solving skills
• Eager to learn and grow within a fast-paced hedge fund environment
• Positive attitude, strong work ethic, and collaborative mindset
• Comfortable communicating with teammates and stakeholders at all levels
• Self-aware and willing to ask questions when appropriate

This role is ideal for someone early in their career who wants meaningful responsibility, close mentorship, and long-term growth within a hedge fund platform.