Compliance Associate

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:

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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