Compliance Associate

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.
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Key PointsDirect, 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.ResponsibilitiesSupport 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.Qualifications3–5 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. xzbcwsv Bachelor’s degree required; JD preferred.Compensation: $150-175k base; $200-250k all-in