Our clients are Hedge Funds, Private Equity Shops, Proprietary Trading Firms, and traditional Asset Managers who are looking for strong junior to midlevel compliance talent. They are ideally targeting anywhere from 3-8 years of experience. We recruit nationwide and work with incredible firms in areas including NYC, DC, Chicago, Houston, LA, and Boston, to name a few.
Any of the following experience is relevant for these roles:
- Code of ethics (gifts & entertainment, political contributions, etc.)
- Employee trade & e-comm surveillance
- Marketing review
- Regulatory filings (ADV, PF, 13F, 13H, etc.)
- Investment & portfolio compliance
- Chaperoning expert network calls
- AML/KYC
- Sanctions
- Compliance Manual
- Policies & procedures
- Employee training/onboarding
- Involvement in SEC exams
Some of our opportunities are generalist, core compliance roles, while others are more focused on one or two areas of expertise (trade and e-comm surveillance, for instance). The firms are anywhere from 3-5 days in office and are looking to interview talent ASAP.