Associate, Compliance at Polymer Capital

New York, New York, United States -

Full Time

Start Date

Immediate

Expiry Date

12 Oct, 26

Salary

0.0

Posted On

14 Jul, 26

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Regulatory Compliance, Trade Surveillance, SEC Regulations, CFTC Regulations, NFA Regulations, Regulation M, Risk Limits, Internal Controls, Regulatory Filings, Incident Management, Analytical Skills, Interpersonal Communication, Microsoft Office, Asset Class Knowledge, Compliance Monitoring, Due Diligence

Industry

Investment Management

Description

Company Introduction Polymer Capital Management is a market-neutral, multi-manager investment platform based in Asia and US, with a primary focus in Asia markets. Polymer combines established institutional support and deep knowledge of local financial markets with a dedication to discovering and developing the region's best investment talent. Polymer was established in conjunction with PAG, one of the world's largest Asia-focused alternative asset managers, in 2019. Job Brief We are seeking a highly motivated and detail-oriented Compliance Associate to join our growing compliance team within a multi‑manager hedge fund platform. The role is hands-on and suited to someone who can work independently in a fast-paced investment management environment and includes monitoring, regulatory support, training, and advisory responsibilities. Regulatory Compliance & Monitoring Assist in the implementation and ongoing enhancement of the firm’s compliance program in accordance with SEC, CFTC, and NFA regulations Conduct daily, monthly, and ad hoc surveillance and monitoring, including: Trade surveillance (e.g., market abuse, front-running, insider trading) E-communications surveillance Personal account dealing (PAD) reviews Restricted list monitoring and watch list maintenance Support Form ADV updates, regulatory filings, and other periodic reporting requirements Regulation M & Market Conduct Compliance Support compliance with SEC Regulation M, including: Monitoring for restricted activities during distribution periods Maintaining and updating Reg M restricted lists Coordinate with trading, capital markets, and legal teams on deal-related restrictions and wall-crossing procedures Multi‑Manager Platform Oversight Work with portfolio managers and trading teams across multiple strategies to ensure compliance with risk limits and internal controls: Perform pre- and post-trade compliance checks and work with CCO to follow up with portfolio managers and trading teams Assist in manager onboarding and ongoing due diligence processes Policies, Procedures & Controls Maintain and update compliance policies and procedures, including the compliance manual and code of ethics Assist in rolling out compliance training programs and firm-wide communications Participate in reviews and testing of internal controls and compliance frameworks Regulatory Filings & Documentation Support preparation and submission of regulatory filings (e.g., Form PF, Form ADV, Form D, 13F, 13H, PQR, as applicable) Assist in responding to regulatory inquiries, audits, and examinations Incident Management & Investigations Assist in the logging, investigation, and escalation of compliance incidents, breaches, or exceptions Perform root cause analysis and track remediation actions Qualifications & Experience Bachelor’s degree in Finance, Economics, Law, or a related field 5-7 years of relevant compliance experience, preferably within: Hedge funds, asset management firms, or multi‑manager platforms Exposure to quantitative or systematic trading strategies is a plus Strong knowledge of U.S. regulatory framework (SEC Investment Advisers Act) Familiarity with multiple asset classes (equities, derivatives, fixed income, FX) Skills & Competencies High attention to detail and strong analytical skills Strong communication and interpersonal skills with the ability to engage front office stakeholders Proficiency in Microsoft Office; experience with compliance or trading systems is a plus Proactive mindset with a strong sense of ownership and accountability Why join us? Prime Location: You'll work full time from our centrally located office space in Midtown, NY High-Growth: We have a team of highly ambitious professionals with a strong desire to learn and develop their skills. Equal opportunity employer: We celebrate diversity and are committed to creating an inclusive environment for all employees. Global exposure: With six offices and three affiliate offices around the region, Polymer teams work together to solve meaningful problems on a scale. Dynamic and Collaborative Environment: Opportunity to work with industry leaders and experts to engage in exciting projects and fulfilling challenges. Polymer Capital Management (US), LLC is an Equal Opportunity Employer. We value diversity and are committed to creating an inclusive environment for all employees. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, disability, age, or veteran status. Some of our Benefits · Paid Annual Leave · Medical Group Insurance · Gym reimbursement · DEI and Philanthropy Initiatives · Professional Learning & Development Opportunities

Responsibilities

The role involves implementing and enhancing the firm's compliance program through daily surveillance of trades, communications, and personal account dealing. Additionally, the associate will manage regulatory filings, maintain compliance policies, and oversee multi-manager platform risk limits.