Buyside Compliance

2 weeks ago

New York, United States Rockwood Search Full time

Large buy side firm seeks a junior compliance associate reporting into the Deputy CCO. This is a trade surveillance role, sitting with the business responsible for supporting the investment team and other business units with respect to the firm’s Compliance program and/or investment-related questions.

Some responsibilities include assisting in implementing the firm’s Code of Ethics, including personal trading and outside business activity reviews; Assisting in on-boarding new employees with necessary Compliance training and documentation; Reviewing trade surveillance reports (related to both firm and employee trading) to identify and escalate potential issues; Reviewing E-surveillance reports of messages sent over firm-approved platforms to identify and escalate potential issues; Reviewing fund allocation reports to ensure compliance with firm policy and Provide support to the Research Compliance function, including reviewing whether proposed consultants should be approved or denied from a Compliance perspective.


1-3 years of related compliance experience is required as is some understanding of trading and markets, including different types of securities and how they work in practice (equity, fixed income, derivatives).



Qualified candidates should send resumes to ws@rockwood-search.com. Please put your Name and “Compliance Associate” in the subject line and attach your resume as a word or PDF document. Also include contact information, salary requirements and any applicable information in the body of the email.


$75,000 to $100,000 base salary; depending on experience

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