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.
Main Responsibilities
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.
