Associate, Compliance

About the role

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.

Responsibilities

• Regulatory Compliance & Monitoring
• 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
• Regulation M & Market Conduct Compliance Support compliance with SEC Regulation M, including: Monitoring for restricted activities during distribution periods
• Maintain and update Reg M restricted lists
• Career with trading, capital markets, and legal teams on deal-related restrictions and wall-crossing procedures
• Multi‑Manager Platform Oversight
• 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
• Aid in manager onboarding and ongoing due diligence processes
• Policies, Procedures & Controls
• Maintain and update compliance policies and procedures, including the compliance manual and code of ethics
• Aid in rolling out compliance training programs and firm-wide communications
• Participate in reviews and testing of internal controls and compliance frameworks
• Regulatory Filings & Documentation
• Support preparation and submission of regulatory filings (e.g., Form PF, Form ADV, Form D, 13F, 13H, PQR, as applicable)
• Aid in responding to regulatory inquiries, audits, and examinations
• Incident Management & Investigations
• Assist in the logging, investigation, and escalation of compliance incidents, breaches, or exceptions
• Perform root cause analysis and track remediation actions

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
• Exposure to quantitative or systematic trading strategies is a plus
• Strong knowledge of U.S. regulatory framework (SEC Investment Advisers Act)
• Familiarity with multiple asset classes (equities, derivatives, fixed income, FX)

Skills & Competencies

• 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; experience with compliance or trading systems is a plus
• Proactive mindset with a strong sense of ownership and accountability

Benefits

• Prime Location: You'll work full time from our centrally located office space in Midtown, NY
• High-Growth: We have a team of highly ambitious professionals with a strong desire to learn and develop their skills
• Equal opportunity employer: We celebrate diversity and are committed to creating an inclusive environment for all employees
• Global exposure: With six offices and three affiliate offices around the region, Polymer teams work together to solve meaningful problems on a scale
• Dynamic and Collaborative Environment: Opportunity to work with industry leaders and experts to engage in exciting projects and fulfilling challenges