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 Officer.

Primary Responsibilities:

• Administer the firm’s Code of Ethics and Personal Trading Policy
• Monitor trading compliance, including trade allocations
• Partner with internal stakeholders to support firm-wide compliance initiatives
• Conduct forensic testing and monitoring across key compliance risk areas
• Maintain the firm’s Restricted List and assist with MNPI procedures and administration of the firm’s order management system
• Support the firm’s communications surveillance program
• Monitor regulatory developments and assist with implementing related policies, procedures, and controls
• Support the oversight of vendor due diligence
• Assist in the preparation and submission of regulatory filings
• Facilitate the onboarding of new employees; conduct initial and annual compliance training
• Provide ad hoc assistance and support to the Chief Compliance Officer and compliance team when needed

Qualifications:

• Bachelor’s degree required
• Minimum of 5 years of professional experience in operations, audit, compliance, or similar role with exposure to financial products
• Demonstrated professional integrity, sound judgment, and discretion in handling confidential information
• Strong work ethic, initiative, and a proactive, solutions-oriented approach
• Proven ability to manage multiple priorities, meet deadlines, and consistently deliver accurate, high-quality work in a fast-paced environment
• Collaborative team player with excellent organizational, interpersonal, and written and verbal communication skills
• Experience monitoring personal trading, outside business activities, gifts and entertainment, and political contributions
• Proficiency in Microsoft Excel, Word; SharePoint and StarCompliance experience a plus
• Knowledge of the Advisers Act of 1940 and related rules and regulations a plus
• Knowledge of fixed income products a plus
• Knowledge of conflict of interest and related compliance risks a plus
• Perform other duties and responsibilities as assigned

Current anticipated annual base salary range: $115,000 - $130,000

Base salary within the range will be determined by various factors including but not limited to the individual's experience, skills and qualifications.