A large Asset Management Fund is hiring for a Compliance Associate! This role will be hybrid (4 days in office / week) in New York City. The ideal candidate has experience performing e-comm surveillance reviews and will assist with personal trade monitoring and new hire onboarding.
Responsibilities:
- Enhance e-comm surveillance program (Behavox and Global Relay experience is a plus)
- Handle ad hoc projects for Compliance team
- Complete regulatory filings (form ADV, PF etc)
- Assist with personal trade monitoring and Code of Ethics administration
- Detect policy breaches
Requirements:
- 1-5 YOE
- Ability to commute into office 4 days per week
- Ability to work in a fast-paced enviornment
- 4 year Bachelor's degree
- Skilled in Excel
