Compliance Associate

1 month ago

Charlotte, United States JW Michaels & Co. Full time

Highly regarded hedge fund is seeking a dynamic Compliance Associate to join their team in the Charlotte, NC office. They will oversee the legal and compliance affairs of the Firm and the Funds it manages. This individual will work collaboratively with the compliance team on a variety of compliance related matters.


Responsibilities:

  • Implementing Compliance policies, including those involving the Code of Ethics, employee certifications, regulatory filings, and document retention.
  • Monitoring personal and firm trading, restricted list maintenance, the upkeep of various logs, heavy writing, document review and upload, call monitoring, expert network approvals, and regular communications with third party brokerage firms.
  • Assisting with the annual review and training of compliance policies, as well as the reviews of the compliance program and regulatory developments for Compliance Committee meetings.
  • Performing back testing related to expense allocations, trade allocation exceptions, managed accounts, personal trading accounts.


Skills and Requirements:

  • Strong academic track record
  • 3-6 years of relevant experience within an accounting firm,, financial institution, consulting firm, or regulatory agency
  • Professional and trustworthy with confidential and sensitive information
  • Excellent interpersonal and communication skills (written and verbal)
  • Strong analytical skills, attention to detail, well organized, and proven ability to multi-task
  • Must be a self-starter, independent worker and quick learner Personal / Professional Attributes
  • We place high value on analytical, smart and intellectually rigorous attributes, which facilitates delivery of the firm’

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