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 de…
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Chase Office Supplies, LTD
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Full-time
bachelor degree
Paid Annual Leave, Medical Group Insurance, Gym Reimbursement, Dei And Philanthropy Initiatives, Professional Learning & Development Opportunities
Posted 24d ago
~40 hrs/week
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.
Requirements
Candidates must have a bachelor's degree in Finance, Economics, Law, or a related field with 5-7 years of compliance experience in hedge funds or asset management. Strong knowledge of the U.S. regulatory framework and familiarity with multiple asset classes are required.
Full job 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:
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
Polymer Capital Management is a market-neutral, multi-manager investment platform based in and focused on Asia. 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.
Offices: 24/F, Three Pacific Place, 1 Queen's Road East, Hong Kong, HK · #2050, Level 20, Mirae Asset Tower, 166 Lujiazui Ring Road, Pudong District, Shanghai, 200120, CN · 8 Marina View, #34-04/05, Asia Square Tower 1, Singapore, 018960, SG · Suite 22.02, Level 22, 60 Martin Place, Sydney, NSW 2000, AU · 43F-1A, Taipei Nanshan Plaza, No. 100 Songren Road, Xinyi District, Taipei, 110016, TW
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