Compliance Associate
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-02-05
Listing for:
OCR Alpha
Full Time
position Listed on 2026-02-05
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Crime, Risk Manager/Analyst
Job Description & How to Apply Below
What You’ll Be Doing
- Maintain and enhance compliance policies, procedures, and the Code of Ethics
- Support firm-wide compliance risk assessments and control frameworks
- Manage elements of the compliance calendar and ongoing monitoring activities
- Assist with regulatory filings and responses to US regulators
- Review investor materials and external communications for regulatory alignment
- Run employee compliance monitoring (personal trading, gifts & entertainment, Code of Ethics)
- Maintain audit-ready compliance records and logs
- Conduct real-time and post-trade surveillance of trading activity
- Support regulatory examinations, audits, and compliance reviews
- Coordinate compliance training and track completion
- Monitor regulatory developments and support ad-hoc compliance initiatives
- 2–4+ years of compliance experience within investment management or regulated financial services
- Familiarity with US regulatory requirements (SEC / RIA environment preferred)
- Strong attention to detail and ability to manage multiple priorities
- Clear communicator with a practical, solutions-focused mindset
This is a broad, hands-on compliance role offering meaningful ownership within a prestigious hedge fund, with direct exposure to senior leadership, trading activity, and regulatory interactions, and clear room to grow over time
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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