Compliance Associate
hedgeeye
finance

Experienced

Job Description:

Hedgeye Risk Management is seeking a dependable, detail-oriented Compliance Associate to support the day-to-day compliance operations for Hedgeye Risk Management, and subsidiary, Hedgeye Asset Management � an SEC Registered Investment Adviser. This position is ideal for someone who enjoys operational execution, organization, and process management within a regulated financial services environment. This individual will report directly to the firm�s General Counsel and Chief Compliance Officer and work closely with all levels of employees of both entities.

Daily 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 Hedgeye Risk Management and Hedgeye Asset Management Identify opportunities to improve workflows, automation, and operational efficiencies within the Legal & Compliance function

Job Requirements:

Bachelor's degree 2-5 years of experience within compliance, operations, legal support, fund administration, or another regulated financial services environment (Education, certificates, advanced trainings and internships may be considered) Experience supporting an investment adviser, asset manager, hedge fund, broker-dealer, family office, fund administrator, or similar financial services organization 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

Compensation:

This position is a part-time, temporary-to-permanent opportunity located in Stamford, CT. The anticipated schedule is approximately 20-25 hours per week, with compensation ranging from $35,000-$40,000 per year based on experience and qualifications.

Job Location(s):

Stamford, Connecticut

Source:

Company Career Section

Competition:

n/a

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