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Compliance Associate - Code Of Ethics

Company

Hamlyn Williams
Address New York, NY, United States
Employment type FULL_TIME
Salary
Category Financial Services,Investment Management
Expires 2023-06-19
Posted at 11 months ago
Job Description

I've partnered with a prestigious New York Hedge Fund to bring on a Compliance Associate focusing on Code of Ethics and Internal compliance with the guidance and mentorship of two Compliance Directors.


What you'll be doing:

  • Assist in the oversight of all gifts & entertainment, insider trading and staff onboarding
  • Assist with compliance training programs.
  • Enhance internal compliance reports by identifying potential gaps and improving automation.
  • Assist with the build out and maintenance of the code of ethics program utilising starcompliance system


What they're looking for:

  • Strong understanding of the asset management industry as well as knowledge of SEC regulations
  • 1-4 years of asset management experience, preferably with Advisers Act experience.
  • Excellent written and verbal communication skills, and good judgment.
  • Bachelor's degree level educated


For more information please get in touch with Thomas Byrne at Hamlyn Williams at [email protected]