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Compliance Associate

  • Location:

    New York

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Liam Lynch

  • Contact email:

    liam@rutherfordsearch.com

  • Contact phone:

    +1 332 256 0130

  • Job ref:

    LYL36387

  • Published:

    8 days ago

  • Expiry date:

    2024-11-08

​Our Client

Rutherford is partnered with a global hedge fund that is looking to add a Compliance Associate to the NY or CT compliance team. The opening offers strong career progression.

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Main Duties

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

  • Providing regulatory advice to the investment and trading teams.

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

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

  • Code of ethics, trade surveillance, monitoring and testing

  • Support the Chief Compliance Officer on global compliance program initiatives

​

Your Profile

  • 2 - 5 years of previous compliance experience at a hedge fund or registered investment adviser

  • Strong understand of the US regulatory landscape

  • FCA & SFC regulatory knowledge would be beneficial

​

Salary banding for this position is $100,000 to $130,000 per annum.

​

For more information about this position, please get in touch with Liam Lynch.
Email: liam@rutherfordsearch.com
Phone: +1 332 256 0130
ReferenceCode: 36387

​

About Rutherford
Rutherford is a boutique search firm located in London. Our consultants are executive specialists in compliance recruitment, and also in in-house legal and private practice legal, all within the financial and legal 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 and investment banks. We began as a compliance recruitment firm in London and expanded our offering to now provide new resourcing expertise across legal recruitment, both in-house and private practice. We have been a leading legal and compliance search agency in London for over a decade.