Compliance Associate

Company Overview

FUNDA is an AI-driven investment research firm serving global public equity markets. Our team brings together talent from leading AI companies and global hedge funds, building AI agents and core infrastructure for fundamental investment research to define the next generation of the buy-side research workflow. We are backed by tier-1 USD venture capital funds, and our clients include over 300 institutional investors, predominantly hedge funds, mutual funds and asset managers across the US, Hong Kong and Singapore.

We operate an AI-native platform: large language models are used for research summarization, drafting assistance and retrieval-augmented generation over our curated corpus. Our offering spans subscription-based independent equity research (Preview Reports, Deep Research Reports, ResearchLITE and Weekly Reports), the Funda.ai research platform with its AI research assistant and supply-chain and sentiment dashboards, the Expert Interview Database, and Expert Network consultations.

Our analyst team covers AI, semiconductor, internet, software, hardware and data-center infrastructure. Fundamental research combines in-depth work on emerging technology trends and semiconductor industry developments with supply-chain channel checks and expert interviews, and every report is published under a multi-layered compliance framework with independent supervisory review.

About the job

We accelerate and enhance decision-making for investors and business leaders by combining fundamental research, supply-chain channel checks and expert interviews across multiple sectors, geographies and topics.

Clients access our experts and research on demand, in person, through our Expert Interview Database and via the Funda.ai research platform.

FUNDA is seeking a hands-on Compliance Associate (1–3 years of experience) to support the day-to-day compliance operations of the platform, working closely with the Compliance Manager. This role supports all aspects of FUNDA's compliance program which includes providing guidance to our business colleagues when dealing with complex compliance issues. This role reports to the Compliance Manager.

FUNDA is currently seeking an Associate to join our global Compliance department. This role offers the opportunity to support global client service professionals while allowing for autonomy to develop expertise in the field of risk management.

In addition to developing essential problem-solving, time management, risk assessment and interpersonal skills, the role will contribute to broader compliance initiatives by analysing complex data, regulations, and situations to identify potential risks and develop effective risk mitigation strategies while developing effective communication skills.

Key Responsibilities

• Reviewing and approving the proposed subject matters of interviews and experts
• Reviewing and approving interview transcripts, specifically to identify confidential information and any potentially inappropriate content
• Working with in-house analysts to finalize content for publication ensuring compliance with internal processes and procedures
• Deliver initial and ongoing compliance training for employees
• Provide timely and practical advice to sales, operations and business units on day-to-day compliance matters, including answering client queries
• Manage verbal and written communications with prospective and existing clients
• Implement client-specific compliance protocols into our proprietary system
• Conduct Portal and Substack compliance overviews
• Collaborate with Technology teams to design and implement compliance-related controls and enhancements
• Working on ad-hoc projects as directed by management

Qualifications & Requirements

• Bachelor's degree with at least 1–3 years of relevant experience in compliance or legal
• Relevant certifications in Risk Management and/or Compliance & Ethics will be preferred.
• Excellent written and verbal communication skills in English, with strong attention to detail.
• Exceptional analytical and reasoning skills, with attention to detail
• Compliance Associates often work closely with colleagues across different departments within the organization. Strong interpersonal skills are essential for collaborating with others, building relationships, and influencing stakeholders to comply with compliance requirements.
• Proactive, self-motivated, comfortable operating in a fast-paced environment and with autonomy when required
• Experience using compliance search tools
• Familiarity communicating with prospective and existing clients
• Knowledge of financial industry regulations and due diligence preferred
• Proficient in Microsoft Office products, internet research tools, and a working knowledge of the service platform is a plus.
• Previous compliance experience within financial services highly desirable but not essential
• Organized with excellent attention to detail for proofreading and identifying compliance issues
• Ability to understand and interpret complex financial concepts from a compliance perspective
• Ability to develop strong working relationships across the organization, working with all levels and all offices globally

What We Offer

• Competitive compensation
• Hybrid working
• Entrepreneurial environment, autonomy, and efficient decision-making
• International exposure through collaboration with global FUNDA teams
• Casual work environment with engaging colleagues
• Seasonal team events and engagement activities