Investment Advisor

Compliance Associate , New York, NY

Compliance Associate (New York, NY): Our client, an investment advisor with over $25 billion AUM, is seeking a motivated and polished Compliance Associate to join their team.  This is an exciting opportunity for an individual to join a team that is dynamic, growing, and cohesive. Specifically, this person will be working with the Legal & Compliance Department to monitor the firm’s compliance with applicable laws, rules and regulations and ensuring they maintain compliance with its internal policies and procedures. This position will be part of a team that reports to the Deputy Chief Compliance Officer and work closely with firm-wide Portfolio Management, Research and Trading teams. The candidate will be expected to manage and update pre and post-trade compliance monitoring systems; review and responding to client questionnaires and compliance certification requests; monitor portfolio compliance of separate accounts, commingled funds, mutual funds and UCITS; and participate in compliance testing of policies and procedures (including code of Ethics compliance). S/he will also assist Portfolio Managers and Traders with daily compliance inquiries; administer and maintain internal database; assist in the preparation of regulatory filings, such as Blue Sky forms, Form PF and Form 13F; and finally accept ownership for special projects and explore opportunities to add value to the firm’s overall objective. The ideal candidate will have 2-4 years of experience in a similar position, preferably at a registered investment advisor or broker-dealer; familiarity with order management and trading compliance modules is strongly preferred (ie. Markit thinkFolio, Bloomberg AIM, or Charles River); and a bachelor’s degree. This person should be detail oriented with exceptional analytical and communications skills; possess a can-do attitude; be comfortable interacting with senior management; and enjoys working in a fast paced environment with competing priorities. 

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