Job details

Compliance Associate

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

Skills

Proficiency in Microsoft Excel and Word
Experience monitoring personal trading, outside business activities, gifts and entertainment, and political contributions
Knowledge of Advisers Act rules and regulations, fixed income products, conflict of interest

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
Maintain the firm’s restricted list and assist with MNPI procedures
Assist in responding to new and/or changing policies and procedures, aid in the development of policies and procedures relating to new developments in relevant areas
Analyze, track and implement associated controls around regulatory changes
Provide ad hoc assistance and support to the Chief Compliance Officer and compliance team in various areas