Job BriefWe are seeking a highly motivated and detail-oriented
Compliance Associate to join our growing compliance team within a multi-manager hedge fund platform. The role is hands-on and suited to someone who can work independently in a fast-paced investment management environment and includes monitoring, regulatory support, training, and advisory responsibilities.
Regulatory Compliance & Monitoring- Assist in the implementation and ongoing enhancement of the firm's compliance program in accordance with SEC, CFTC, and NFA regulations
- Conduct daily, monthly, and ad hoc surveillance and monitoring, including:
- Trade surveillance (e.g., market abuse, front-running, insider trading)
- E-communications surveillance
- Personal account dealing (PAD) reviews
- Restricted list monitoring and watch list maintenance
- Support Form ADV updates, regulatory filings, and other periodic reporting requirements
Regulation M & Market Conduct Compliance- Support compliance with SEC Regulation M, including:
- Monitoring for restricted activities during distribution periods
- Maintaining and updating Reg M restricted lists
- Coordinate with trading, capital markets, and legal teams on deal-related restrictions and wall-crossing procedures
Multi-Manager Platform Oversight- Work with portfolio managers and trading teams across multiple strategies to ensure compliance with risk limits and internal controls:
- Perform pre- and post-trade compliance checks and work with CCO to follow up with portfolio managers and trading teams
- Assist in manager onboarding and ongoing due diligence processes
Policies, Procedures & Controls- Maintain and update compliance policies and procedures, including the compliance manual and code of ethics
- Assist in rolling out compliance training programs and firm-wide communications
- Participate in reviews and testing of internal controls and compliance frameworks
Regulatory Filings & Documentation- Support preparation and submission of regulatory filings (e.g., Form PF, Form ADV, Form D, 13F, 13H, PQR, as applicable)
- Assist in responding to regulatory inquiries, audits, and examinations
Incident Management & Investigations- Assist in the logging, investigation, and escalation of compliance incidents, breaches, or exceptions
- Perform root cause analysis and track remediation actions
RequirementsQualifications & Experience- Bachelor's degree in Finance, Economics, Law, or a related field
- 5-7 years of relevant compliance experience, preferably within:
- Hedge funds, asset management firms, or multi-manager platforms
- Exposure to quantitative or systematic trading strategies is a plus
- Strong knowledge of U.S. regulatory framework (SEC Investment Advisers Act)
- Familiarity with multiple asset classes (equities, derivatives, fixed income, FX)
Skills & Competencies- High attention to detail and strong analytical skills
- Strong communication and interpersonal skills with the ability to engage front office stakeholders
- Proficiency in Microsoft Office; experience with compliance or trading systems is a plus
- Proactive mindset with a strong sense of ownership and accountability
BenefitsWhy join us?
- Prime Location: You'll work full time from our centrally located office space in Midtown, NY
- High-Growth: We have a team of highly ambitious professionals with a strong desire to learn and develop their skills.
- Equal opportunity employer: We celebrate diversity and are committed to creating an inclusive environment for all employees.
- Global exposure: With six offices and three affiliate offices around the region, Polymer teams work together to solve meaningful problems on a scale.
- Dynamic and Collaborative Environment: Opportunity to work with industry leaders and experts to engage in exciting projects and fulfilling challenges.
Some of our Benefits
• Paid Annual Leave
• Medical Group Insurance
• Gym reimbursement
• DEI and Philanthropy Initiatives
• Professional Learning & Development Opportunities
