OCR Alpha is currently working with one of Europe’s leading hedge funds with over $20 billion AUM. They are a truly global business with a multi-strategy approach. Our client prides itself on its’ cohesive and collaborative culture.
About the Role
My client is seeking a hardworking and analytical professional to join as their Compliance Associate. In this new role, the Compliance Associate will be responsible for working directly with and assisting the Chief Compliance Officer in the US with the firm’s day-to-day compliance and regulatory obligations.
Key Responsibilities
- Help maintain and update all compliance policies and procedures, including the Code of Ethics
- Help maintain and enhance the firm’s Risk Matrix
- Administer a process for regularly reviewing the firm’s compliance program and documenting same
- Assist with preparing all regulatory filings
- Assist with reviewing marketing materials
- Conduct staff compliance monitoring, including Code of Ethics compliance
- Conduct real-time and post-trade practice reviews and trade surveillance
- Assist in regulatory audits
- Schedule and coordinate compliance training programs for employees
- Stay current on regulatory updates and industry practices
Assist the Chief Compliance Officer in any other compliance tasks as necessary
Key Requirements
- A bachelor’s degree or higher
- At least 3 years of relevant compliance experience, preferably within a hedge fund or asset management firm
- Experience with regulatory bodies such as the SEC, CFTC, and NFA
- Strong multitasking abilities
- Excellent interpersonal and communication skills
- Highly organized and efficient
- Ability to work independently as well as collaboratively within a team
