Legal and Compliance Associate (New York, NY): Our client, an established global hedge fund, is seeking a Legal and Compliance Associate to support its compliance program and legal function. The Associate will report directly to the General Counsel / CCO. It’s a broad, hands-on role covering nearly every part of the firm’s regulatory and legal framework, including cross-border compliance across its international offices.
Key Points
- Direct, daily mentorship from the GC/CCO, with visibility to senior leadership and firm committees.
- Exposure to both legal and compliance work, across U.S. and non-U.S. regulatory frameworks.
- A small, close-knit team in a fast-paced environment, with room to grow in responsibility.
- Primarily in-office in New York.
Responsibilities
- Support daily operation of the compliance program, including the compliance calendar, the compliance manual, and the Code of Ethics.
- Perform compliance testing and surveillance across personal trading, trade allocation, electronic communications, and MNPI controls.
- Assist with regulatory filings, including Form ADV, Form PF, Form 13F, and Schedules 13D/13G, and support non-U.S. filings and licensing.
- Support the GC on contract review, DDQs, legal research, and corporate governance, and review marketing materials for SEC Marketing Rule compliance.
Qualifications
- 3–5 years of compliance or legal experience, ideally at an SEC-registered investment adviser (preferably a hedge fund), a compliance consulting firm, or a law firm.
- General understanding of the Investment Advisers Act of 1940 and the Securities Exchange Act of 1934.
- Exceptional attention to detail, strong communication skills, and sound judgment with confidential information.
- Bachelor’s degree required; JD preferred.
Compensation: $150-175k base; $200-250k all-in
Compliance Associate in white plains at Unknown Company
This position is listed as contract and onsite.