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Compliance Associate at Caxton Associates | Bengaluru

Caxton AssociatesBengaluru, Karnataka, India
On-site Full-time
Position filled

Experience Level

Entry Level

Qualifications

Qualifications:A law degree or a Bachelor’s or Master’s degree in Business Administration or a related field1 to 3 years of experience as a compliance generalist in a hedge fund, trading firm, or investment management companyComprehensive understanding of regulatory frameworks, especially in Code of Ethics management, market abuse surveillance, and communication monitoringExperience in implementing and managing trade and communications surveillance programmesPrior experience in compliance monitoring activities is a plusKnowledge of financial markets and the trade life cycle is advantageousHighly motivated, organized, and meticulousExceptional communication and presentation skills, both verbal and writtenDependable and committed to maintaining the highest professional and ethical standards

About the role

About Caxton Associates:

Founded in 1983, Caxton Associates is a premier global trading and investment firm with offices across major financial hubs including New York, London, Singapore, Monaco, and Dubai, and is set to establish a new office in Bengaluru in 2026. Our core mission is to manage both client and proprietary capital through innovative global macro hedge fund strategies. The Bengaluru office will be pivotal in enhancing our global trading, research, and operational efforts.

About the Role:
We are seeking a proactive and detail-oriented junior compliance professional to join our dynamic team in Bengaluru. Reporting to the Compliance Officer, you will be instrumental in developing and upholding a top-tier Global Compliance Monitoring Programme. Your contributions will be vital in ensuring adherence to regulations and fostering a robust culture of compliance throughout the organization.

Key Responsibilities:

  • Assist in managing the Global Compliance Monitoring Programme
  • Support the administration of the firm’s Code of Ethics tool (Comply)
  • Participate in monitoring and surveillance activities, focusing on Market Abuse, Personal Account Dealing, Gifts and Entertainment, and Investment Team Communication
  • Collaborate with Compliance team members on policies, procedures, and global compliance matters as directed by the Chief Compliance Officer
  • Engage with colleagues across the organization to promote a culture of compliance

About Caxton Associates

Caxton Associates is a globally recognized trading and investment firm, committed to excellence in investment management and client service. With a storied history and a strong presence in key financial markets, we are dedicated to fostering innovation and strategic growth.

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