Barclay Simpson ยท 1 week ago
Senior Compliance Associate
New York, United States
Full-time
Onsite
Senior Level
$175K/yr - $225K/yrBarclay Simpson is conducting a confidential search on behalf of a leading hedge fund seeking a Senior Compliance Associate to join its global compliance team. The role involves supporting day-to-day compliance operations, enhancing the Compliance Program, and managing regulatory filings and audits.
Recruiting
Responsibilities
Partner closely with the legal and compliance team to support day-to-day compliance operations and strategic priorities
Help maintain and enhance the Compliance Program, including policies, procedures, Code of Ethics, and certifications
Support monitoring and testing, including personal trading, conflicts, gifts & entertainment, communications review, and marketing oversight
Assist in managing regulatory filings, exams, and audits, including evidence gathering and coordination with internal/external stakeholders
Qualification
Required
Strong compliance generalist knowledge
Experience with Code of Ethics
Understanding of conflicts
Knowledge of MNPI (Material Non-Public Information)
Familiarity with marketing rule
Experience with disclosures
Recordkeeping knowledge
Company
Barclay Simpson
Barclay Simpson is a specialist international recruitment company.
Founded in 1989
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Dean Spencer
Group CEO
Simon Lawton
Director
Company data provided by crunchbase