Senior Compliance Associate
A leading global investment firm with over $20 billion in assets under management is seeking an Investment Compliance Associate to join its compliance team. The firm specializes in credit strategies, including high yield bonds, leveraged loans, private and illiquid credit, direct lending, and structured credit, with additional initiatives in private equity and real estate. Recognized multiple times as one of the best places to work in money management and as an inclusive workplace, this firm offers a collaborative and professional environment with offices in major financial hubs.
The Role:
As an Investment Compliance Associate, you will ensure that all investment activities comply with regulatory requirements and internal policies. This includes monitoring trading activity, conducting surveillance, and providing guidance to the investment team. The ideal candidate will have strong knowledge of financial markets, trading regulations, and compliance best practices.
Key Responsibilities:
- Monitor investment activities and assess compliance/regulatory risk.
- Provide real-time input on trading issues and allocation questions.
- Conduct daily trade surveillance to identify potential compliance issues.
- Assist with onboarding and monitoring of client accounts.
- Implement and enforce investment compliance policies and procedures.
- Manage compliance technology platforms and generate reports for senior management.
- Monitor adherence to client guidelines and internal restrictions.
- Support regulatory filings and reporting requirements.
- Review best execution procedures and related metrics.
Qualifications:
- 3-5 years of compliance experience in financial services or hedge funds.
- Bachelor's degree (Finance, Accounting, Economics, Mathematics preferred).
- Strong knowledge of markets and trading practices across asset classes.
- Familiarity with SEC regulations and global requirements related to trading and market practices.
- Experience with trade surveillance systems (EZE Castle preferred).
- Excellent analytical, organizational, and communication skills.
- Ability to work independently with discretion and urgency.
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