Buyside Compliance

2 weeks ago

New York, United States Rockwood Search Associates Full time
Job DescriptionJob Description

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; depending on experience

Company DescriptionRockwood Search is an executive recruiting firm chosen by discerning employers seeking to attract and retain outstanding talent. Our clients represent a cross section of some of the world's most desirable employers. Whether your background is in human resources, finance and accounting, marketing, or the world of wall street investment and operations, the services provided by Rockwood Search should be considered as part of your career development plansCompany DescriptionRockwood Search is an executive recruiting firm chosen by discerning employers seeking to attract and retain outstanding talent. Our clients represent a cross section of some of the world's most desirable employers. Whether your background is in human resources, finance and accounting, marketing, or the world of wall street investment and operations, the services provided by Rockwood Search should be considered as part of your career development plans

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