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.

Key Points

• Direct, 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.

Responsibilities

• Support 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.

Qualifications

• 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.


• 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.


• Bachelor’s degree required; JD preferred.

Compensation: $150-175k base; $200-250k all-in