Compliance Associate ( Part-time)
$35,000–$40,000 year
On-site · Stamford, Connecticut, United States
Job Summary
Compliance Associate part-time in Stamford, CT supporting Hedgeye Risk Management and Hedgeye Asset Management. Responsibilities include reviewing and approving employee personal trading activity for compliance; conducting communication surveillance reviews of investment professionals; performing quarterly personal trading and fund transaction reviews; reviewing and approving marketing materials; preliminary reviews of regulatory filings and compliance documentation; handling inquiries from employees, clients, prospects, and service providers; reviewing equity and macroeconomic research for compliance; maintaining and updating employee compliance training programs; assisting with ETF Board due diligence and related reporting; supporting ongoing compliance initiatives; and identifying opportunities to improve workflows, automation, and operational efficiencies within the Legal & Compliance function.
Required Qualifications
- Bachelor's degree
- 2-5 years of experience in compliance, operations, legal support, fund administration, or another regulated financial services environment
- 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 escalation needs
- Strong interpersonal and communication skills
- Friendly, collaborative, and professional demeanor
- Comfortable interacting with colleagues across departments
- Proficiency with spreadsheets, technology platforms, and AI-enabled tools
- Interest in improving processes and leveraging technology to increase efficiency
- Equal employment opportunity statements (as part of the posting)
Apply with one swipe on Sorce. We auto-fill applications and apply on your behalf — no cover letters, no 40-minute forms.
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.