Hedge Fund Compliance Associate

Midtown Manhattan-based investment adviser operating for over 30 years, managing over $9 billion in client assets is seeking a Compliance Associate to join its Legal and Compliance Department. While the candidate does not need to have prior experience in investment adviser compliance, they should have a basic familiarity with the fundamentals of the finance industry and a strong desire for a career in compliance. The candidate must be organized, intellectually curious, care immensely about their work product. They must be willing to perform a variety of administrative functions, which will constitute a large portion of their overall responsibilities. These administrative tasks form the foundation for a long‑term career in investment adviser compliance and are consistent with a career path toward one day becoming a Chief Compliance Officer (CCO). Individuals with compliance or paralegal experience are encouraged to apply. Candidates that have experience with regulations governing publicly traded companies are highly valued. Position Requirements The candidate will be responsible for supporting a variety of functions related to the legal and compliance program of a registered investment adviser and certain publicly traded companies. Ideal Candidate The ability to work well in a team environment; A dedication for organization and devotion to calendaring multiple ongoing tasks; An appreciation that administrative tasks are a large portion of the overall role and form the basis for a successful compliance career; A high degree of work ethic and attention to detail; A desire to learn about the nuances of investing and enjoyment reading detailed investment research; Familiarity and experience using Excel spreadsheets, including creating formulas, tables, etc. The candidate will display and promote high ethical standards, have a desire to work independently, and is comfortable multi-tasking. The candidate should value a friendly environment that promotes intellectual curiosity and lots of reading. The candidate will be responsible for performing a myriad of administrative, compliance, and paralegal responsibilities including reviewing and approving employee trading, updating and administering portfolio compliance rules, learning a variety of systems used to administer the compliance program, drafting regulatory filings on Schedule 13D/G and Form 4, coding client accounts for various compliance restrictions, monitoring compliance restrictions on a daily basis, updating compliance policies and procedures, managing a variety of Excel spreadsheets, assisting with employee training, drafting minutes in meetings of the Boards of Directors, organizing contracts in the firm’s electronic books and records software, and maintaining a compliance calendar. The candidate will also support the firm’s in‑house attorneys in the management of legal matters applicable to the company. The candidate will interact with senior executives and will be expected to conduct themselves in a professional and formal manner. All candidates must have a Bachelor’s degree, preferably with a major in finance or economics. Candidates with Series 7 or similar registrations are encouraged. Prior experience in a compliance role at a registered investment adviser, paralegal experience at a law firm, or experience in a financial related accounting role is a plus. About the Company The company has been in operation for over 30 years and has over 90 employees. We adhere to a deep value investment philosophy where rigorous fundamental research forms the basis of our investment decisions. We manage a variety of investment products including mutual funds, ETFs, closed‑end funds, hedge funds and separately managed accounts. While we primarily invest in exchange‑traded equities, we also manage alternative strategies, some of which invest in digital assets/cryptocurrencies. We promote a collegial workplace that seeks to foster a creative and intellectual environment where communication and input from all levels of employees is encouraged. #J-18808-Ljbffr Atlas Search