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Regulatory Compliance Specialist
2 months ago
Company Overview:
Bracebridge Capital, LLC is a prominent hedge fund manager overseeing approximately $12 billion in net assets. The firm specializes in investment strategies primarily focused on the global fixed income markets, aiming for capital preservation and absolute returns while minimizing correlation with equity, interest rate, and foreign exchange markets.
Founded in 1994, Bracebridge manages private investment funds catering to endowments, foundations, pension funds, and other institutional and high-net-worth investors. With around 150 employees, the firm operates in a collaborative and entrepreneurial environment that values motivated, dedicated, and intellectually curious individuals.
Position Summary:
Bracebridge Capital is currently seeking a Regulatory Compliance Specialist to join our team. This role is essential in maintaining and enhancing the overall compliance framework and ensuring adherence to SEC, CFTC, and other relevant regulations.
The Compliance Specialist will report directly to the Compliance Supervisor.
Key Responsibilities:
1. Administer the firm’s code of ethics and personal trading policies.
2. Monitor compliance in trading activities, including trade allocations.
3. Develop and execute forensic testing across various compliance domains.
4. Assist in managing the compliance functions of the order management system, including the creation and modification of compliance rules.
5. Maintain the firm’s restricted list and support MNPI procedures.
6. Aid in the response to evolving policies and procedures, contributing to the development of new guidelines in relevant areas.
7. Analyze, track, and implement controls related to regulatory changes.
8. Provide ad hoc support to the Chief Compliance Officer and the compliance team in areas such as employee compliance training, document preparation for committee meetings, and maintenance of compliance records as required by regulators.
Qualifications:
- 2-5 years of professional experience in operations, audit, compliance, or a related field with exposure to financial products.
- High level of professional integrity, judgment, and discretion.
- Strong work ethic, initiative, and a proactive mindset.
- Ability to manage multiple tasks, prioritize effectively, meet deadlines, and deliver high-quality, error-free work in a dynamic environment.
- A collaborative team player with excellent organizational, interpersonal, and communication skills.
- Experience in monitoring personal trading, outside business activities, gifts and entertainment, and political contributions.
- Proficiency in Microsoft Excel and Word; experience with SharePoint is a plus.
- Familiarity with Advisers Act rules and regulations is advantageous.
- Knowledge of fixed income products and conflict of interest considerations is beneficial.
