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Compliance Associate

  • Location:

    New York

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Salary:

    $100,000 - $160,000

  • Contact:

    Lucy Phillips

  • Contact email:

    lucy@rutherfordsearch.com

  • Contact phone:

    +1 332 256 0130

  • Job ref:

    PHL35725_4

  • Published:

    25 days ago

  • Expiry date:

    2024-05-05

​Our Client

Rutherford is partnered with one of the world's fastest growing multi-strategy funds ($12bn+ AuM) currently looking to grow their Compliance team (NY). This firm has earned the reputation of having best-in-class technological resources with a very high performing front office trading division. Their compliance team is made of talented individuals from other top tier funds, brokers & exchanges.​

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Main Duties

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

  • Advise the firm on upcoming regulatory developments that will affect the firm

  • Assist the Compliance team in ad hoc projects as required

  • Trade surveillance, monitoring and testing

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

  • Aid CCO with compliance program initiatives

​

Your Profile

  • At least 2+ years of previous surveillance experience at a hedge fund, brokerage or exchange or alternatively 2+ years' experience in a generalist compliance role with an interest in expanding into surveillance

  • Strong understand of the US regulatory landscape

  • Excellent communication skills

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

​

The firm prides itself on instilling collaboration, technological empowerment and mentorship across all business units. The firm are able to offer continuous development and progression, with entrepreneurial attitudes being rewarded with industry leading training, resources and support. This opportunity also opens up the chance to work shoulder to shoulder with some of the most talented professionals within the market, not only within the compliance function but also the wider business.

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Basic salary range for this position: $100,000 - $160,000 (DOE)

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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
Reference Code: 35752

​

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, New York and China. 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.