Compliance Operations Associate ( Part-time)

Key Responsibilities

• Review and approve employee personal trading activity for compliance with firm policies and procedures
• Conduct communication surveillance reviews of investment professionals
• Perform quarterly personal trading and fund transaction reviews
• Review and approve marketing materials on demand
• Conduct preliminary reviews of regulatory filings and compliance documentation prior to final approval by the General Counsel/Chief Compliance Officer
• Manage, respond to, or appropriately escalate compliance-related inquiries from employees, clients, prospects, and service providers
• Review equity and macroeconomic research for compliance with firm guidelines
• Maintain and update employee compliance training programs and materials
• Assist with ETF Board due diligence requests and related reporting requirements
• Support ongoing compliance initiatives across both Hedgeeye Risk Management and Hedgeeye Asset Management
• Identify opportunities to improve workflows, automation, and operational efficiencies within the Legal & Compliance function

Requirements

• Bachelor's degree
• Experience within compliance, operations, legal support, fund administration, or another regulated financial services environment
• Familiarity with the regulatory framework governing investment advisers and the securities industry
• Strong organizational skills and attention to detail
• Ability to work independently and manage recurring responsibilities with minimal supervision
• Sound judgment and awareness of when issues require escalation
• Strong interpersonal and communication skills
• Friendly, collaborative, and professional demeanor
• Comfortable interacting directly with colleagues across departments
• Proficiency with spreadsheets, technology platforms, and AI-enabled tools
• Interest in improving processes and leveraging technology to increase efficiency

Qualifications

• Compensation range: $36,000 - $40,000 per year
• Anticipated schedule: Approximately 20-25 hours per week

Pay

• $36,000 - $40,000 per year

Schedule

• Approximately 20-25 hours per week

About the Role

Hedgeye is a leading provider of actionable independent investment research and a premier online financial media company. At our core, we are a results-driven, constantly evolving, entrepreneurial company committed to intelligent expansion.

Hedgeye is committed to unwavering Transparency, Accountability and Trust.