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Compliance Associate

  • Location:

    Stamford

  • Sector:

    Compliance

  • Salary:

    $90,000 - $140,000

  • Contact:

    Lucy Phillips

  • Contact email:

    lucy@rutherfordsearch.com

  • Contact phone:

    +1 332 256 0130

  • Job ref:

    PHL35915

  • Published:

    10 months ago

  • Expiry date:

    2024-02-22

Our Client

Rutherford are partnered with a boutique multi-strategy hedge fund looking to grow their compliance team following the successful global expansion of the front office trading teams.

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Main Duties

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

  • Assist with researching new compliance rules and implementing policy updates

  • Manage process for employee personal trade reviews, employee certifications and employee gift/entertainment requests

  • Trade surveillance, monitoring and testing

  • Assist in regulatory reporting and filings, such as Form ADV, Form PF, and 13 Filings

  • Support the General Counsel/CCO with compliance program initiatives

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Your Profile

  • Strong understand of the US regulatory landscape

  • Excellent communication skills

  • Ability to work independently and excel in a high intensity environment

  • At least 1+ years of previous compliance experience at a hedge fund, brokerage or exchange or alternatively prior experience working for a specialist financial services consulting firm

  • Able to commit to 4 days a week in Stamford, CT

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Benefits

  • Competitive compensation commensurate with level of experience.

  • Comprehensive benefits package including medical, dental, vision, 401(k), insurance, Summer Fridays, and wellness reimbursement.

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Salary range for this position is $90,000 - $140,0000

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For more information about this position, please get in touch with Lucy Phillips.
Email: lucy@rutherfordsearch.com
Phone: +1 332 256 0130
ReferenceCode: 35915

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About Rutherford
Rutherford is a boutique search firm located in London. Our consultants are 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 search agency in London for a decade and are excited about bringing our expanded offering into the technology area.

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