Key Responsibilities:
* Conduct regular reviews of the firm’s policies and procedures to ensure they are up to date and in compliance with regulatory requirements * Stay up to date on regulatory changes and communicate relevant updates to the firm’s employees * Manage and maintain the firm’s compliance manual and other compliance-related documentation * Assist with the firm’s annual compliance review and coordinate regulatory exams * Conduct training sessions for […]
A financial services firm in Westchester County is actively seeking a dedicated and analytical professional to join their staff as their new Compliance Consultant. In this role, the Compliance Consultant will assist with registering clients as investment advisers with the SEC.
Responsibilities:
* Prepare policies and procedures, reports, memoranda, and other client deliverables * Support the senior consultants with client engagements, including tracking and monitoring, ongoing obligations, and preparing for […]
Our client, a prestigious Hedge Fund in New York, NY, is seeking a Compliance Associate to join their growing team.
As a Compliance Generalist, this individual will play a crucial role in ensuring the organization’s adherence to applicable regulatory requirements, industry best practices, and internal policies.
Responsibilities:
* Assist in the implementation and maintenance of compliance policies and procedures to ensure adherence to relevant laws, regulations, and industry standards […]
A multi-strategy Hedge Fund with offices globally continues to build out its Fixed-Income & Macro platform while looking for high-performing quantitative risk analysts to join their world-class risk and quantitative research team. They are looking for a true problem solver.
The Risk team plays a vital role in our clients’ investment process, building a deeply rooted culture of efficient risk management and factful performance attribution. The Market Risk Analyst […]
Bracebridge Capital, LLC is a leading hedge fund manager with approximately $12 billion of net assets under management. The firm pursues investment strategies primarily within the global fixed-income markets with the objectives of capital preservation and absolute return without significant correlation to equity, interest rate, and foreign exchange markets. Established in 1994, Bracebridge manages private investment funds that serve endowments, foundations, pension funds, and other institutional and high-net-worth investors.
Approximately […]
A multi-strategy Hedge Fund ($30 billion) is currently in the process of building out its Trade Surveillance team that sits in NYC. This new hire must have experience reviewing potential insider trading infractions and monitoring daily trade surveillance reports.
Functions:
* General trading surveillance reviews (emphasis on potential market manipulation and insider trading) * Monitor daily surveillance reports * Review trade alerts and raise findings as needed * Undertake […]
A multi-strategy Hedge Fund is hiring a Compliance Analyst to join its growing team and report directly to the Chief Compliance Officer.
This position is a flexible hybrid, requiring one day per week in the office.
Key Responsibilities:
* Spearhead regulatory filing including U-4/U-5 forms * Conduct new hire onboarding and pre-hire background checks
Key Qualification:
* 1+ years of experience in a financial compliance role
Our client is a $38B NY-based multi-strategy Hedge Fund currently seeking to add a talented Senior Associate to their Risk & Performance Analytics Team.
The ideal candidate will work closely with the Manager of Risk Analytics and collaborate in tandem with Front Office: Portfolio Managers and Senior Members of the Research Team.
Responsibilities:
This role will be responsible for continuously enhancing the firm’s risk-monitoring process, including: * Reviewing and […]
Mondrian Alpha is working exclusively with a top-tier, double-digit AUM multi-strategy hedge fund looking to grow its Risk Management function.
The Role
The firm is seeking a Senior Risk Officer to join its Risk Management team. This individual will be responsible for monitoring markets and risk measures to ensure that the fund operates within intended risk limits. The position will also involve preparing materials and assisting the Chief Risk Officer […]
Join a purpose-driven winning team, committed to results, in an inclusive and high-performing culture.
Purpose of the Job
Trade Floor Risk Management (TFRM) is a team within Global Risk Management that measures and monitors market risk arising from Scotiabank GBM’s trading and treasury activities of Global Banking and Markets (GBM), Group Treasury (GT) and International Banking (IB).
TFRM – Funds Risk Management is accountable for market risk adjudication and monitoring […]
