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Regulatory Compliance Consultant (Code of Ethics Program)
Location:
New York, NY (Hybrid)
Duration:
Through December 2025, with possible extension into early 2026
About the Role:
A leading global hedge fund is seeking a Regulatory Compliance Consultant to support its Code of Ethics program through the remainder of the 2025 calendar year. This position offers an opportunity to work within a high-performing compliance team at a top-tier investment management firm, providing oversight of employee personal trading and ensuring adherence to the firm’s fiduciary standards.
Key Responsibilities
Review pre-clearance trade requests to ensure personal trading aligns with the firm’s fiduciary obligations to clients.
Assist in maintaining the
Code of Ethics monitoring system (StarCompliance) , including reviewing unknown accounts, securities, and reconciliation items.
Conduct post-trade reviews of employee trading activity to confirm compliance with internal policies and regulatory standards.
Support the rollout of annual compliance training, including issuing presentations, tracking completion, and following up with employees as needed.
Qualifications
Prior experience in compliance, preferably within an investment management, hedge fund, or financial services environment.
Familiarity with StarCompliance and Skillcast platforms strongly preferred.
Understanding of Code of Ethics obligations, personal trading rules, and conflicts of interest monitoring.
Strong organizational skills with the ability to manage multiple priorities and meet deadlines.
Proficient in Microsoft Excel and Word (advanced Excel skills a plus).
Excellent attention to detail and communication skills.
Seniority level Associate
Employment type Temporary
Job function Human Resources
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New York, NY (Hybrid)
Duration:
Through December 2025, with possible extension into early 2026
About the Role:
A leading global hedge fund is seeking a Regulatory Compliance Consultant to support its Code of Ethics program through the remainder of the 2025 calendar year. This position offers an opportunity to work within a high-performing compliance team at a top-tier investment management firm, providing oversight of employee personal trading and ensuring adherence to the firm’s fiduciary standards.
Key Responsibilities
Review pre-clearance trade requests to ensure personal trading aligns with the firm’s fiduciary obligations to clients.
Assist in maintaining the
Code of Ethics monitoring system (StarCompliance) , including reviewing unknown accounts, securities, and reconciliation items.
Conduct post-trade reviews of employee trading activity to confirm compliance with internal policies and regulatory standards.
Support the rollout of annual compliance training, including issuing presentations, tracking completion, and following up with employees as needed.
Qualifications
Prior experience in compliance, preferably within an investment management, hedge fund, or financial services environment.
Familiarity with StarCompliance and Skillcast platforms strongly preferred.
Understanding of Code of Ethics obligations, personal trading rules, and conflicts of interest monitoring.
Strong organizational skills with the ability to manage multiple priorities and meet deadlines.
Proficient in Microsoft Excel and Word (advanced Excel skills a plus).
Excellent attention to detail and communication skills.
Seniority level Associate
Employment type Temporary
Job function Human Resources
#J-18808-Ljbffr