Compliance Specialist

Published June 25th, 2024

We are hiring for a Compliance Associate who will work with a team to maintain and enhance the overall compliance program and to ensure compliance with SEC, CFTC and other applicable rules and regulations.  The Compliance Associate will report directly to the Compliance Supervisor.

Primary Responsibilities:

  • Administer the firm’s code of ethics/personal trading policy
  • Monitor trading compliance, including trade allocations
  • Develop and conduct forensic testing on various compliance areas
  • Assist with administration of the order management system compliance function, including creating and modifying compliance rules
  • Maintain the firm’s restricted list and assist with MNPI procedures
  • Assist in responding to new and/or changing policies and procedures, and aid in the development of policies and procedures relating to new developments in relevant areas
  • Analyze, track and implement associated controls around regulatory changes
  • Provide ad hoc assistance and support to the Chief Compliance Officer and compliance team in the following areas:
    • Employee compliance training
    • Preparing documents for committee meetings
    • Maintenance of compliance records as mandated by applicable regulators



  • Bachelor’s degree
  • 2-5 years professional experience in operations, audit or compliance or similar role with exposure to financial products
  • High degree of professional integrity, judgment, and discretion
  • Strong work ethic, initiative, and a proactive approach
  • Ability to manage multiple tasks, prioritize effectively, meet deadlines, and deliver high-quality, error-free work in a fast-paced environment
  • A team player with strong organizational, interpersonal and communication skills.
  • Experience monitoring personal trading, outside business activities, gifts and entertainment, and political contributions
  • Proficiency in Microsoft Excel, Word; Sharepoint experience a plus
  • Knowledge of Advisers Act rules and regulations a plus
  • Knowledge of fixed income products a plus
  • Knowledge of conflict of interest a plus
  • Perform other duties as assigned
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