Associate, Compliance

Polymer Capital USA•New York, NY

6d•Onsite

About The Position

Polymer Capital Management is seeking a highly motivated and detail-oriented Compliance Associate to join its growing compliance team within a multi-manager hedge fund platform. This role is hands-on and suited to someone who can work independently in a fast-paced investment management environment, including 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.

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, and 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 and 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.