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Compliance Associate

5 months ago

Stamford, United States JCW Full time

About the Job

JCW is currently partnering with a Stamford based Hedge Fund that is looking to build out their Compliance team. This role would report directly into the firms General Counsel.


Key Responsibilities

  • Reviewing and implementing new Compliance policies and procedures for the firm.
  • Assist with Trade Compliance monitoring.
  • Monitor regulatory changes for the firms main regulators including the SEC, CFTC and NFA.
  • Working on ad-hoc Compliance projects including reviewing marketing materials and responding to AML/KYC requests.


Minimum Requirements

  • At least 2 years of compliance experience with a Registered Investment Advisor or Hedge Fund.
  • Bachelors degree required.
  • General knowledge of the US Regulatory landscape including SEC/CFTC rules and regulations.