Our hedge fund client is seeking a Compliance Associate to join its team in Connecticut, and support its continued growth. This role offers a unique opportunity to be part of a dynamic, rapidly expanding hedge fund. The Compliance Associate will work in a generalist capacity, working alongside the compliance team and contribute to the development and implementation of the firm's compliance policies and procedures
Key Responsibilities
- Oversee compliance task deadlines.
- Collaborate with investor relations on tracking subscriptions and redemptions.
- Assist with researching new compliance regulations and updating policies.
- Manage processes for personal trade reviews, employee certifications, and gifts/entertainment requests.
- Support trade compliance monitoring.
- Review marketing materials for compliance.
- Assess investor engagement requests.
- Work with legal and other departments on regulatory filings.
- Coordinate with compliance consultants and other service providers.
- Contribute to NFA Self-Examinations and SEC Annual Reviews.
Qualifications
- Bachelor's degree required.
- 1-5 years of compliance experience with an SEC-registered investment adviser.
- Familiarity with CFTC and SEC regulatory guidelines.
- High attention to detail.