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.  

Key Points:

  • 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.


  • Prepare regulatory filings; administer the firm’s Code of Ethics program; participate in daily investment and trade monitoring
  • Facilitate trade errors; oversee the automated employee email review system; on-board new clients and perform KYC/AML checks
  • Participate in vendor and service provider oversight and draft compliance memoranda; help with internal audits and risk assessments
  • Work to improve various compliance programs; and supporting various affiliates as necessary.  


  • 2+ years of compliance or paralegal experience from either a hedge fund, private equity fund, asset manager, compliance consulting firm or law firm
  • 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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