What are the responsibilities and job description for the Compliance Associate position at Landing Point?
Compliance Associate (New York, NY): Our client, a leading global hedge fund is seeking a new compliance hire for their growing, but lean team. This is a unique opportunity for someone to join a growing firm, learn from seasoned professionals and gain exposure to all areas of the compliance program.
Responsibilities:
- Responsible for Code of Ethics monitoring including personal trading, electronic surveillance, compliance certifications, political contributions, gifts & entertainment, outside business activities/conflicts of interest and remedial controls.
- Review and approval of marketing materials.
- Responsible for new employee onboarding.
- Conduct trade error analysis.
- Manage counter-party compliance background checks/3rd party service provider due diligence.
- Best Execution analysis.
Qualifications:
- 2 Years experience with a Hedge Fund managing private funds or from Investment Banking with Investment Adviser managing private funds
- Fully versed with SEC Investment Advisers Act
- Experience with CFTC/ NFA requirements for Commodity Pool Operator
- Experience with market manipulation trade compliance
- Regulatory Filing experience
- Bachelor’s degree
Salary : $110,000 - $140,000
