COMPLIANCE ASSOCIATE

Bayview Asset Management (“Bayview”) is seeking a Private Equity/Hedge Fund Compliance Associate to support the Chief Compliance Officer in the administration of the firm’s investment adviser compliance program. The position requires frequent interaction with senior management and the ability to understand securities laws and complex business transactions. The ideal candidate will have a strong work ethic, have the ability to work independently, possess excellent organizational skills and attention to detail, and have prior experience at a SEC-registered investment adviser. The successful candidate must be able to meet tight deadlines, multi-task, and demonstrate strong communication skills. Successful candidates will be energetic, self-motivated, and team-oriented individuals who thrive on challenges in a fast-paced, dynamic environment.

The Compliance Associate reports to the Chief Compliance Officer and performs various activities as part of Bayview’s investment adviser compliance program, including:

• Performing forensic testing and surveillance activities to detect and resolve potential compliance issues;
• Assisting with regulatory examinations and internal audits
• Monitoring private fund and employee personal trading;
• Advising employees regarding company policies and procedures;
• Assisting in the preparation of regulatory filings;
• Maintaining internal books and records;
• Assisting in the identification of potential conflicts of interest and compliance risks;
• Leading training sessions related to the Code of Ethics; and
• Staying updated on securities laws and regulations.

Bayview seeks to hire an individual who is highly motivated, intelligent, possesses sound judgment, and has demonstrated excellence in prior endeavors. In addition to strong analytical and time management skills, the successful candidate must have:

• Bachelor’s degree;
• Excellent communication and presentation skills;
• Strong knowledge of Microsoft Excel (including v-lookup and pivot tables), PowerPoint and Word;
• Exceptional attention to detail and organizational skills; and
• Ability to execute multiple projects (short and long term) accurately and on time.

Working knowledge of complex investment strategies and financial products, especially fixed income and derivatives, and familiarity with securities laws and regulation, including the Investment Advisers Act and Investment Company Act, is preferred. Relevant experience in a compliance function for a SEC registrant (Investment Adviser and/or Broker Dealer) is a plus.