Compliance Associate
Description:
Firm: $30Bn Hedge Fund
Location: NYC
Hybrid: 4 days in office, 1 day WFH
Compensation: $125k-$175k base + bonus [$40k-$75k]
Benefits: Full paid Medical and Dental, paid lunch
Overview: Join $30Bn Hedge Fund as a Legal and Compliance Specialist, where you'll collaborate with various departments across the firm to ensure adherence to legal and compliance standards. Reporting to the General Counsel, you'll be part of a department divided into four teams: Compliance, Private Investments, Tax Planning, and Funds and Trading.
Responsibilities:
Manage daily, weekly, quarterly, and annual regulatory filings globally, with emphasis on 13F, 13D, and 13G filings
Act as the main contact for vendor contracts and trading document negotiations, liaising with internal teams such as IR, Trading, Treasury, and Trading Operations, as well as external stakeholders like brokers and vendors
Manage information requests in non-US jurisdictions
Handle lobbyist registrations and ongoing filings
Assist in creating new legal entities and drafting initial documents
Support funds and trading attorneys with various tasks, including global position filings and legal entity formation for trading compliance
Support the Private Investments team with KYC requests and other tasks
Manage documentation and regulatory filings related to funds' trading and financing activities
Qualifications:
Bachelor's degree with a strong academic background
Exceptional attention to detail and project management abilities
Strong organizational and communication skills
Proficiency in Bloomberg and Microsoft Office suite
Client is open to the following background of candidates with 3-5 years experience in a similar role within financial services:
Regulatory Reporting: from a Hedge Fund or Private Equity Fund - 13F, 13G, 13H, Form PF
Trading Compliance: risk, trade surveillance from a Hedge Fund
Bank/Investment Management: Contract Negotiations, NDAs
Paralegal with FS Clients: experience with negotiating NDAs, vendor agreements
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