Compliance Associate

Bracebridge Capital is seeking a Compliance Associate who will work with a team to maintain and enhance the overall compliance program and to ensure compliance with SEC, CFTC and other applicable rules and regulations.  The Compliance Associate will report directly to the Compliance Supervisor.

Primary Responsibilities:

• Administer the firm’s code of ethics/personal trading policy
• Monitor trading compliance, including trade allocations
• Develop and conduct forensic testing on various compliance areas
• Assist with administration of the order management system compliance function, including creating and modifying compliance rules
• Assist in responding to new and/or changing policies and procedures, and aid in the development of policies and procedures relating to new developments in relevant areas.
• Provide ad hoc assistance and support to the Chief Compliance Officer and compliance team in the following areas:
  • Employee compliance training
  • Preparing documents for committee meetings
  • Maintain required compliance records as mandated by applicable regulators

Qualifications:

• Bachelor’s degree
• 2-5 years professional experience in operations, audit or compliance or similar role with exposure to financial products
• High degree of professional integrity, judgment, and discretion
• Strong work ethic, initiative, and a proactive approach
• Ability to manage multiple tasks, prioritize effectively, meet deadlines, and deliver high-quality, error-free work in a fast-paced environment
• A team player with strong organizational, interpersonal and communication skills.
• Proficiency in Microsoft Excel, Word; Sharepoint experience a plus
• Knowledge of Advisers Act rules and regulations a plus
• Knowledge of fixed income products a plus