Asset Manager

Compliance Associate , New York, NY

Compliance Associate (New York, NY):  Our client, a $10b Asset Manager here in NYC is looking to bring on a Compliance Associate to their lean, but growing compliance team.  This person will work as part of a 3-person legal and compliance department, reporting directly in to the CCO.  This is a unique opportunity for someone young in their career to touch on all aspects of the compliance program, while also having exposure to senior management.  The specific responsibilities include preparing regulatory filings, administering the firm’s Code of Ethics program, participating in daily investment and trade monitoring, facilitating trade errors, overseeing the automated employee email review system, on boarding new clients and performing KYC/AML checks, participating in vendor and service provider oversight and drafting compliance memoranda.  Additionally, this person will be responsible for helping with internal audits and risk assessments, working to improve various compliance programs, and supporting various affiliates as necessary.  The ideal candidate will have 2+ years of compliance or paralegal experience from either a hedge fund, private equity fund, asset manager, compliance consulting firm or law firm.  The qualified candidate will have excellent communication skills, an ability to effectively interface with all levels of management and work in a team environment.  Charles River compliance module is a plus, but not required. 

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