Compliance Analyst

1 month ago

Quincy, United States Atlantic Group Full time

An independent hedge fund/investment management firm in Quincy, MA is seeking a Compliance Analyst to join their growing team. (Hybrid: 3 days a week in office) This is an excellent opportunity to spearhead your career growth at a reputable smaller firm. This role gives you the opportunity to learn from, and have direct exposure with a strong leadership team.

This individual will have the responsibility of collaborating directly with our Principals, our COO/CCO, and the rest of our business operations team, providing assistance across all aspects of firm compliance. The candidate must have hedge fund compliance experience.

Responsibilities:

  • Aid the COO/CCO in fulfilling all RIA and Fund compliance obligations and tasks.
  • Oversee and support adherence to the Code of Conduct and personal trading regulations for the company and its staff.
  • Collaborate with the COO/CCO to assess all communications with investors and prospects, including the company's website, ensuring compliance with new SEC Marketing rules.
  • Assist in completing all regulatory filings for our Funds and RIA entities.
  • Manage all documentation related to relationships with counterparties, broker dealers, and prime brokers for the firm.
  • Lead the firm's proxy voting activities.
  • Collaborate with the Investment Team to monitor and participate in research meetings.

Skills & Experience Required:

  • 3-5 years of experience in a hedge fund or another asset management firm.
  • Minimum of a BA/BS degree or equivalent.
  • Previous experience in compliance within the investment management industry.
  • Knowledge of Hedge Funds or Private Investment Funds is essential.

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