Compliance Associate: Hedge Fund Regulation & Surveillance
Polymer Capital Japan
Polymer Capital Management (US), LLC is seeking a highly motivated Compliance Associate to join our growing compliance team. The role is hands‑on and suited to someone who can work independently in a fast‑paced investment management environment and includes monitoring, regulatory support, training and advisory responsibilities. You will help implement SEC, CFTC, and NFA programs, conduct surveillance, coordinate with trading and legal, and support regulatory filings and investigations. #J-18808-Ljbffr Polymer Capital Japan
- ...Capital Management seeks a Compliance Associate to join its US compliance... ...independence, and focuses on daily surveillance, regulatory support,... ...within a multi‑manager hedge fund platform. The ideal candidate... ..., a solid grasp of US regulations, and the ability to coordinate...Surveillance
- ...Alternative Investments Compliance Team. Ideal candidate... ...but limited to Fund Marketing, Legal, Compliance... ...facets of Trade Compliance/Surveillance, Regulatory, and ah-... ...for compliance with regulations and the Code of Ethics... ...(Asset Management/Hedge Fund/Private Equity/ Fund...Surveillance
$75k - $115k
...market making, and hedging and investment... ...traders, banks, hedge funds and asset... ...financial landscape, Compliance has become increasingly... ...with US regulators. Fluent English is... ...communications, and Voice Surveillance review services... ...requirements associated with this....SurveillanceWork at officeImmediate startWorldwide$80k - $130k
...private equity, real estate, and hedge funds to institutions, advisors,... ...outcomes for clients. The Compliance Officer will work regularly... ...1940 and related rules and regulations. Responsibilities Assist in... ..., including development of surveillance reports and other...SurveillanceLocal areaWorldwideShift work$125k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department... ...pre- and post-trade surveillance. Our team is essential to Point... ...or trading businesses at a hedge fund, asset manager, or broker-... ...analyzing laws and regulations related to commodity interests...SurveillanceWork experience placement- ...division prevents, detects and mitigates compliance, regulatory and reputational risk... ...compliance with new or amended laws, rules and regulations; designs and implements controls,... ...and inquiriesPerform oversight of surveillances and programmatic reviews to assess Compliance...Surveillance
$110k - $120k
...seeking to hire a Monitoring and Testing Associate to join its Compliance team. The primary objective of this... ...compliance with applicable laws, regulations and internal policies and... ...tracking of remediation plans. Perform surveillance reviews of trading and communication...SurveillanceWork at office- ...currently seeking to add an Associate to their growing global Compliance Team. Ideal candidate... ...of the Laws, Rules and Regulations to the support firm... ...compliance testing and surveillance Assist in researching and... ...(Asset Management/Hedge Fund/Private Equity/ Fund Administration...Surveillance
$111k - $140k
...Compliance Associate, Market Surveillance New York City, NY Who are we? FalconX is a pioneering team of operators, investors, and builders committed... ...Maintain a deep, up-to-date understanding of market abuse regulations across jurisdictions (CFTC, SEC, MiCA, MAS) and...SurveillanceContract workLocal areaShift work- ..., ~7B Aum, is looking to hire a Senior Compliance Officer/DCCO to their growing team. Strong... ...for candidates coming out of a hedge fund environment. Will be the #2 in compliance... ...in a lean environment. 6-12yrs. E-comms surveillance & monitoring, Code of ethics & personal...SurveillanceWork at office
$200k
A world-leading hedge fund is looking to make an exciting Compliance Officer hire into their New York office. The firm have had exceptional performance over... ...front office, providing advice and guidance. Trade surveillance will also be a key part of your remit, while there...SurveillanceWork at office- ...experienced professional to join their team as a Compliance Associate. Responsibilities: Support the administration and... ...materials for compliance with applicable policies and regulations Assist with monitoring and surveillance activities across the organization Partner with...SurveillanceWork at office
- ...financial services firm is seeking a Compliance Monitoring & Testing Associate to join its compliance team. This... ...for adherence to securities regulations, internal policies, and supervisory... ...supervisory testing. Conduct surveillance of trading activity, electronic communications...SurveillanceWork at office
$108.63k - $127.8k
....”learn more about working at Coinbase. As a Trade Surveillance Associate in the Market Regulation Department of Coinbase Derivatives, LLC (CDE), this... ...disruptive trading activity by CDE participants to ensure compliance with CDE's rulebook and applicable CFTC regulations....SurveillanceContract workLocal area$70k - $145k
Compliance AnalystAbout Millennium Millennium is a global, diversified alternative investment... ..., processes, systems, controls, surveillance, testing, and reporting. The team works... ...related compliance experience, ideally at a regulator, bank or broker, or buy-side...Surveillance$145k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department... ...pre- and post-trade surveillance. Our team is essential to Point... ...an investment manager, hedge fund, or broker-dealer with direct... ...U.S. securities laws and regulations applicable to trading and market...SurveillanceWork experience placement- ...division prevents, detects and mitigates compliance, regulatory and reputational risk... ...compliance with new or amended laws, rules and regulations; designs and implements controls,... ...and handle escalations from daily trade surveillance reports SKILLS AND EXPERIENCE WE ARE LOOKING...SurveillanceWork experience placementFlexible hours
- Reference: 13578Senior Compliance Officer, Investec USAInvestec - Where... ....Advise on U.S. securities regulations (SEC, FINRA) and broker-... ...Compliance Advisory, Control Room, Surveillance, IT, Operations, Research... ...to the Compliance Associate, fostering strong performance...SurveillanceFull timeWork at officeRemote work
$70k - $160k
Compliance Associate - Experts & ResearchAbout MillenniumMillennium is a global, diversified alternative investment firm, founded in 1989.... ...includes policies and procedures, processes, systems, controls, surveillance, testing and reporting designed to help prevent and detect...Surveillance$125k - $175k
Rex Technologies GmbH is seeking a Surveillance Compliance Officer in New York to enhance their trade surveillance process across various asset... ...ensuring compliance with SEC, FINRA, NFA, CFTC, and other regulations. The ideal candidate will have experience in financial...Surveillance$89k - $105k
...fingertips, anytime and anywhere. The Compliance Specialist will help create and champion... ...best practices and procedures, creating surveillance tools, responding to regulatory... ...teams, and committee members, as well as regulators.Exceptional organizational skills with...SurveillanceWork at officeFlexible hoursShift work3 days per week$150k - $200k
...candidate will support the firm's compliance program across registered private equity funds, private debt funds, and... ...compliance with applicable SEC regulations, Investment Advisers Act requirements... ...compliance testing and surveillance activities related to private fund...SurveillanceFull timeLocal area3 days per week$160k - $250k
...This role will provide Compliance coverage to the Credit Business and Infrastructure groups... ...of Compliance monitoring and surveillance. Strong regulatory background US markets... ...experience working with the rules and regulations and compliance processes and systems. Quick...SurveillanceLocal area- ...Compliance Officer | SEC Registered Investment Adviser / Hedge Fund Platform US-Based | Reporting to Chief Compliance Officer... ...such as wall crossings, trade surveillance, and monitoring activities Prepare... ...of SEC investment adviser regulations and related filings, as well...Surveillance
$115k - $185k
...lifecycle. Support ongoing regulatory compliance activities, including change order review... ...Maintain awareness of evolving global regulations, standards, and guidance, including FDA... ...Extensive experience with post‑market surveillance, including complaint handling support,...SurveillanceFull timeLocal areaRemote workFlexible hours- ...prevents, detects and mitigates compliance, regulatory and... ...or amended laws, rules and regulations; designs and implements controls... ...in alternative strategies (hedge fund, private credit, private equity... ...testing, oversight and surveillances to assess compliance risks...Surveillance
- Marex invites a Surveillance professional to join our US Compliance team in New York. You will review Trade, E-communications, and Voice surveillance for US... ...analysis, English communication, and experience in a regulated environment, with focus on US rules and regulators....Surveillance
- ...providing; Airborne Sensors and Intelligence, Surveillance, and Reconnaissance (ISR); Electronic... ...Service Corporation is seeking a Compliance Analyst as part of our Supply Chain organization... ...activities comply with U.S. Government regulations, company policies, and customer...SurveillanceContract workFor contractorsFor subcontractorRemote workRelocation packageFlexible hours
$80k - $105k
...with industry‑leading cloud archiving, surveillance, eDiscovery, and analytics solutions. We... ...data of the world’s most highly regulated firms, giving them greater visibility and... ...control over their information and ensuring compliance with stringent regulations. Though we...SurveillanceTemporary workWork experience placementWork at office- ...requirements under the EU Medical Device Regulation, MDR (EU) 2017/745, and provide clear... ...management documentation, post-market surveillance plans and reports, and post-market clinical... ...and scientific communications for compliance with applicable European regulatory requirements...SurveillanceWork at officeLocal area
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