Compliance Associate
Listed on 2026-03-12
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Finance & Banking
Regulatory Compliance Specialist -
Law/Legal
Regulatory Compliance Specialist
We are partnered with a leading global hedge fund to appoint a Compliance Analyst into its US compliance team. This is a high‑impact position for a motivated, intellectually curious professional with 4+ years’ compliance experience who is seeking broad, hands‑on exposure across regulatory, surveillance, and advisory compliance.
Partnering closely with the US Chief Compliance Officer and other members of senior leadership, you will be central to the firm’s day‑to‑day compliance and regulatory obligations in a fast‑paced, analytical environment. You’ll gain meaningful visibility into how compliance judgements are formed at a global investment firm and contribute directly to protecting the platform and its investors.
The firm offers a collaborative, high‑performing culture that values curiosity, ownership, and continuous improvement. You’ll receive strong support for professional development, with clear scope to grow your responsibilities and progress your long‑term career in buy‑side compliance.
Daily responsibilities will include, but are not limited to:
- Assisting with trade surveillance, market abuse monitoring, and best execution oversight.
- Supporting the firm’s US compliance framework under the SEC Investment Advisers Act and NFA CTA registrations.
- Preparing compliance reporting and management information for senior committees and boards.
- Administering the US Code of Ethics and core compliance programs, including personal account dealing, gifts & entertainment, and outside business interests.
- Reviewing marketing and investor‑facing materials to ensure they meet regulatory and internal standards.
- Supporting regulatory filings and maintain the firm’s compliance calendar.
- Assisting with regulatory examinations, audits, and engagement with external compliance consultants.
- Supporting counter party and vendor due diligence, including KYC/AML checks and onboarding.
- Coordinating compliance training initiatives and monitor relevant regulatory developments.
The role will also give the successful candidate the opportunity to contribute to ad hoc compliance projects, and coordinate strategic initiatives.
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