Compliance Associate

Well-regarded global investment managemet firm is seeking a Compliance Associate to join thier team.

Responsibilities:

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• Provide advice and guidance to the Global Macro business covering rates, foreign exchange, emerging markets, credit, asset-backed securities, and macro derivatives strategies
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• Partner with macro portfolio managers and trading teams to embed and enforce practical, real-time compliance controls
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• Support pre-trade and post-trade monitoring programs and investigative processes to detect and resolve trading, market conduct, and policy breaches
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• Assist with diligence reviews and the approvals process for new products, markets, brokers, and counterparties, driving timely decisions and clear documentation
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• Conduct complex compliance reviews and investigations, produce concise findings and remediation plans, and manage escalations to senior compliance leaders
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• Manage cross-functional coordination with legal, risk, operations, finance, technology, and third-party vendors to implement and enhance compliance solutions
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• Assist with regulatory readiness efforts and contribute to responses to regulatory inquiries or examinations related to macro trading activities
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• Monitor global regulatory developments affecting macro markets and translate those changes into actionable policy updates and process improvements
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• Conduct new-hire and annual macro-based compliance training for macro teams to translate regulatory and firm requirements into day-to-day practices
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• Chaperone calls and meetings between macro investment professionals and third parties
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• Collaborate with macro management and colleagues across the firm to support oversight and Compliance initiatives
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• Serve as a subject-matter expert to both the broader Compliance team and investment professionals regarding adherence to firm policies and procedures
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Requirements:

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• Juris Doctorate degree from an accredited law school and bar admission
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• Minimum of 3 years of compliance experience supporting macro or trading businesses at a hedge fund, asset manager, or broker-dealer
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• Demonstrated experience overseeing compliance for macro products, including interest rate swaps, sovereign bonds, foreign exchange, credit, asset-backed securities, commodities, and derivatives
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• Practical experience analyzing laws and regulations related to commodity interests and securities, including SEC Rule 10b-5, CFTC Rule 180.1, and the analysis of potential MNPI
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• Proven experience designing and operating trade surveillance, pre-trade controls, and post-trade investigative workflows
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• Proven ability to lead cross-functional projects and engage senior stakeholders under time pressure
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• Strong written and verbal communication skills with strong judgment and the ability to explain complex legal and compliance concepts to non-legal audiences
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• Excellent analytical skills, attention to detail, and the ability to operate independently and manage multiple priorities simultaneously in a fast-paced environment
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• Commitment to the highest ethical standards
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