Compliance Associate
JOB SUMMARY
Job Title: Compliance Associate
Location: Boston, MA
Compensation: $75K-$95K + Bonus + Profit Sharing
A premier hedge fund in Boston has partnered with KBW to find a dedicated Compliance Associate to join their team.
Key Responsibilities:
- Administer the firm’s code of ethics/personal trading policy.
- Monitor trading compliance, including trade allocations.
- Develop and conduct forensic testing on various compliance areas.
- Assist with the administration of the order management system compliance function, including creating and modifying compliance rules.
- Maintain the firm’s restricted list and assist with MNPI procedures.
- Respond to new and/or changing policies and procedures, and aid in developing policies and procedures related to new developments in relevant areas.
- Analyze, track, and implement controls around regulatory changes.
- Provide ad hoc assistance and support to the Chief Compliance Officer and compliance team in areas such as:
- Employee compliance training.
- Preparing documents for committee meetings.
- Maintenance of compliance records as mandated by applicable regulators.
Qualifications:
- Bachelor’s degree.
- 2-5 years of professional experience in operations, audit, compliance, or a similar role with exposure to financial products.
- High degree of professional integrity, judgment, and discretion.
- Strong work ethic, initiative, and a proactive approach.
- Ability to manage multiple tasks, prioritize effectively, meet deadlines, and deliver high-quality, error-free work in a fast-paced environment.
- A team player with strong organizational, interpersonal, and communication skills.
- Experience monitoring personal trading, outside business activities, gifts and entertainment, and political contributions.
- Proficiency in Microsoft Excel and Word; Sharepoint experience is a plus.
- Knowledge of Advisers Act rules and regulations is a plus.
- Knowledge of fixed income products is a plus.
- Knowledge of conflict of interest is a plus.
Please send your updated resume to wcochran@kbwfinancial.com
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