Hedge Fund, Senior Compliance Associate – New York City recruitment

Want to work for a top-tier boutique hedge fund? Do you have 5-7 years of experience at a mid to large size investment advisory firm? Been through an SEC audit? Have a comprehensive understanding of FINRA, NYSE, FSA, or CFTC? Know the ’40 act as well as the Securities Act of 1933? Apply below.

Main Responsibilities will include:
-identifying and mitigating compliance risks
-analyzing the effect of new business initiatives and investment products on the compliance program
-fielding compliance inquiries from employees and management
-assisting in preparation of regulatory reporting and filings
-monitoring industry-wide compliance initiatives

Minimum Requirements:
-Bachelor’s degree from top university with 5-7 years experience in compliance field
-Current firm registered with SEC and has been through at least one SEC audit
-Good understanding of FINRA, CFTC, 1940 Act, 1933 Act
-Impeccable organizational and communication skills
-Agility interacting with business professionals and regulators

What’s a plus:
-prior work as a regulator
-experience at a quantitative or systematic hedge fund