Associate, Compliance

Polymer Capital USA•New York, NY

1d•Onsite

About The Position

We are seeking a highly motivated and detail-oriented Compliance Associate to join our growing compliance team within a multi‑manager hedge fund platform. The role is hands-on and suited to someone who can work independently in a fast-paced investment management environment and includes monitoring, regulatory support, training, and advisory responsibilities.

Requirements

Bachelor’s degree in Finance, Economics, Law, or a related field
5-7 years of relevant compliance experience, preferably within: Hedge funds, asset management firms, or multi‑manager platforms
Strong knowledge of U.S. regulatory framework (SEC Investment Advisers Act)
Familiarity with multiple asset classes (equities, derivatives, fixed income, FX)
High attention to detail and strong analytical skills
Strong communication and interpersonal skills with the ability to engage front office stakeholders
Proficiency in Microsoft Office
Proactive mindset with a strong sense of ownership and accountability

Nice To Haves

Exposure to quantitative or systematic trading strategies is a plus
experience with compliance or trading systems is a plus

Responsibilities

Assist in the implementation and ongoing enhancement of the firm’s compliance program in accordance with SEC, CFTC, and NFA regulations
Conduct daily, monthly, and ad hoc surveillance and monitoring, including: Trade surveillance (e.g., market abuse, front-running, insider trading), E-communications surveillance, Personal account dealing (PAD) reviews, Restricted list monitoring and watch list maintenance
Support Form ADV updates, regulatory filings, and other periodic reporting requirements
Support compliance with SEC Regulation M, including: Monitoring for restricted activities during distribution periods, Maintaining and updating Reg M restricted lists
Coordinate with trading, capital markets, and legal teams on deal-related restrictions and wall-crossing procedures
Work with portfolio managers and trading teams across multiple strategies to ensure compliance with risk limits and internal controls
Perform pre- and post-trade compliance checks and work with CCO to follow up with portfolio managers and trading teams
Assist in manager onboarding and ongoing due diligence processes
Maintain and update compliance policies and procedures, including the compliance manual and code of ethics
Assist in rolling out compliance training programs and firm-wide communications
Participate in reviews and testing of internal controls and compliance frameworks
Support preparation and submission of regulatory filings (e.g., Form PF, Form ADV, Form D, 13F, 13H, PQR, as applicable)
Assist in responding to regulatory inquiries, audits, and examinations
Assist in the logging, investigation, and escalation of compliance incidents, breaches, or exceptions
Perform root cause analysis and track remediation actions