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Compliance Associate

  • Location:

    New York

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Ali Hughes

  • Contact email:

    ali@rutherfordsearch.com

  • Contact phone:

    +1 332 256 0130

  • Job ref:

    HUA11454_6

  • Published:

    17 days ago

  • Expiry date:

    2022-06-08

Our Client

Our client, a multi-strategy hedge fund, is currently looking for their second Compliance hire in their US office. The Compliance Associate will offer trading compliance advisory to the investment team whilst assisting the US Compliance Officer in supporting the global compliance teams.

This role reports directly into the US Compliance Officer who is one step away from the Global COO based in London. This position will help scale business growth with expectations for a fast-paced transition into officer level for the US office.

Main Duties

Key responsibilities for this position will include, but are not limited to:

  • Be the primary point of contact for all trading related matters and queries coming from the trading and investment teams

  • Manage restricted list/watch lists and related issues

  • Support the Chief Compliance Officer to design and implement the US compliance program, including development of US compliance policies and procedures

  • Provide guidance and advice to the wider business on upcoming regulatory developments. Tracking and making all US Regulatory submissions and filings

  • Marketing compliance review and approval

  • Assist the US CCO to deal with interactions and relationships with US regulators, including any regulatory examinations, inquiries or investigations

  • Work with the global compliance team to track regulatory projects and advise on the impact of regulatory change to the firm

  • Deliver US compliance training to the wider business

Your Profile

  • 4 - 7 years of compliance experience, ideally in a hedge fund or asset management firm

  • Knowledge of US regulation applicable to investment managers including the Investment Advisors Act

  • Compliance experience covering equities will be highly advantageous

For more information about this position, please get in touch with Ali Hughes.
Email: ali@rutherfordsearch.com
Phone: +1 332 256 0130
Reference Code: 11454


About Rutherford
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance recruitment, and also in financial crime, legal and cyber security, all within the financial and professional services sectors in the United Kingdom and New York. We use our carefully-curated relationships, networks and market knowledge to find the best fit for the clients in hand. We work with a wide range of clients, spanning from advisors, management consultants, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms, investment banks and technology firms. We began as a compliance recruitment firm in London and expanded to offer new resourcing expertise across legal and cyber recruitment. We have been a leading legal and compliance agency in London for a decade and are excited about bringing our expanded offering into the technology area.