Compliance Associate

Job Description

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

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• Direct, daily mentorship from the GC/CCO, with visibility to senior leadership and firm committees.
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• Exposure to both legal and compliance work, across U.S. and non-U.S. regulatory frameworks.
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• A small, close-knit team in a fast-paced environment, with room to grow in responsibility.
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• Primarily in-office in New York.
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Responsibilities

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• Support daily operation of the compliance program, including the compliance calendar, the compliance manual, and the Code of Ethics.
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• Perform compliance testing and surveillance across personal trading, trade allocation, electronic communications, and MNPI controls.
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• Assist with regulatory filings, including Form ADV, Form PF, Form 13F, and Schedules 13D/13G, and support non-U.S. filings and licensing.
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• Support the GC on contract review, DDQs, legal research, and corporate governance, and review marketing materials for SEC Marketing Rule compliance.
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Qualifications

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• 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.
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• General understanding of the Investment Advisers Act of 1940 and the Securities Exchange Act of 1934.
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• Exceptional attention to detail, strong communication skills, and sound judgment with confidential information.
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• Bachelor’s degree required; JD preferred.
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Compensation: $150-175k base; $200-250k all-in