Overview
Hedge Fund Compliance Associate Jobs in New York, NY at Atlas Search
Title: Hedge Fund Compliance Associate
Company: Atlas Search
Location: New York, NY
Midtown Manhattan-based investment adviser operating for over 30 years, managing over $9 billion in client assets is seeking a Compliance Associate to join its Legal and Compliance Department.
While the Candidate does not need to have prior experience in investment adviser compliance, they should have a basic familiarity with the fundamentals of the finance industry and a strong desire for a career in compliance. The Candidate must be organized, intellectually curious, care immensely about their work product.
They must be willing to perform a variety of administrative functions, which will constitute a large portion of their overall responsibilities. These administrative tasks form the foundation for a long-term career in investment adviser compliance and are consistent with a career path toward one day becoming a Chief Compliance Officer (CCO).
Individuals with compliance, paralegal, are encouraged to apply. Candidates that have experience with regulations governing publicly traded companies are highly valued.
Position Requirements:
The Candidate will be responsible for supporting a variety of functions related to the legal and compliance program of a registered investment adviser and certain publicly traded companies.
The ideal Candidate will have:
- the ability to work well in a team environment;
- a dedication for organization and devotion to calendaring multiple ongoing tasks;
- an appreciation that administrative tasks are a large portion of the overall role and form the basis for a successful compliance career;
- a high degree of work ethic and attention to detail;
- a desire to learn about the nuances of investing and enjoyment reading detailed investment research; and
- familiarity and experience using Excel spreadsheets, including creating formulas, tables, etc.
The Candidate will display and promote high ethical standards, have a desire to work independently, and is comfortable multi-tasking. The Candidate should value a friendly environment that promotes intellectual curiosity and lots of reading.
The Candidate will be responsible for performing a myriad of administrative, compliance, and paralegal responsibilities including reviewing and approving employee trading, updating and administering portfolio compliance rules, learning a variety of systems used to administer the Compliance Program, drafting regulatory filings on Schedule 13D/G and Form 4, coding client accounts for various compliance restrictions, monitoring compliance restrictions on a daily basis, updating compliance policies and procedures, managing a variety of Excel spreadsheets, assisting with employee training, drafting minutes in meetings of the Boards of Directors, organizing contracts in the Firm’s electronic books and records software, and maintaining a compliance calendar. The Candidate will also support the firm’s in-house attorneys in the management of legal matters applicable to the company. The Candidate will interact with senior executives and will be expected to conduct themselves in a professional and formal manner.
All Candidates must have a Bachelor’s degree, preferably with a major in finance or economics. Candidates with Series 7 or similar registrations are encouraged. Prior experience in a compliance role at a registered investment adviser, paralegal experience at a law firm, or experience in a financial related accounting role is a plus.
About the Company:
The Company has been in operation for over 30 years and has over 90 employees. We adhere to a deep value investment philosophy where rigorous fundamental research forms the basis of our investment decisions. We manage a variety of investment products including mutual funds, ETFs, closed-end funds, hedge funds and separately managed accounts.While we primarily invest in exchange traded equities, we also manage alternative strategies, some of which invest in digital assets/cryptocurrencies. We promote a collegial workplace that seeks to foster a creative and intellectual environment where communication and input from all levels of employees is encouraged.
