Compliance Associate

 

Who we are:

Pharo Management is a leading global macro hedge fund with a focus on emerging markets. Founded in 2000, the firm has offices in London, New York and Hong Kong and currently manages $7 billion in assets across four funds. Pharo trades foreign exchange, sovereign and corporate credit, local market interest rates, commodities, and their derivatives.  We trade in over 70 countries across Asia, Central and Eastern Europe, the Middle East and Africa, Latin America as well as developed markets. Our investment approach combines macroeconomic fundamental research and quantitative analysis.

Pharo employs a diverse, dynamic team of 125 professionals representing over 20 nationalities and 30 languages. We have a strong corporate culture anchored in core values such as collaborative spirit, creativity and respect. We are passionate about what we do and are committed to attracting the best and brightest talent.

This is a great opportunity to join a market leader and contribute to our continued success.

Job description:

We are looking for a Compliance Associate in our NY office. This position is varied in scope and the individual will be responsible for day-to-day coverage of the Compliance monitoring program.

Responsibilities:

• Responsible for Code of Ethics (COE) monitoring including personal trading, electronic surveillance, compliance certifications, (optimal to know ACA Compliance Alpha systems), political contributions, gifts & entertainment, outside business activities/conflicts of interest and remedial controls.   
• Review and approval of marketing materials.
• Responsible for new employee onboarding.
• Conduct trade error analysis.
• Manage counter-party compliance background checks/3^rd party service provider due diligence. 
• Best Execution analysis.  

Required qualities and skills:

• 5-7 Years experience with a Hedge Fund managing private funds or from Investment Banking with Investment Adviser managing private funds
• Fully versed with SEC Investment Advisers Act/ COE
• Experience with CFTC/ NFA requirements for Commodity Pool Operator (CPO)
• Experience with market manipulation trade compliance
• Regulatory Filing experience: Form ADV, Reg D, 13F, 13H, Form PF, CPOPQR, NFA annual filings, CFTC Form 40
• Bachelor’s degree

 

Pay range in New York

Exact compensation may vary based on skills, experience, and location.

$100-130k annual salary

Work status and location

• Full time in New York

 

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Last updated on Jun 14, 2024