Asset Manager

Junior Compliance Officer, New York, NY

Junior Compliance Officer (New York, NY): Our client an Asset Manager with $15 Billion in AUM, is seeking a Junior Compliance Officer to join their thriving team. This person will report to the Chief Compliance Officer and work closely with other compliance professionals. This is a great opportunity for self-motivated individual who is looking to expand their knowledge and utilize their compliance experience in a highly visible role.

Key Points:

·       Exposure to all aspects of the compliance program 

·       Firm isgrowing rapidly and investing across a variety of products

·       Person will be part of a lean team, which will allow them to make an impact not only on the compliance program, but across all areas of the firm

·       They offer a good quality of life along with a competitive benefits and pay package (5 weeks of vacation) 


·       Coordinatecompliance deliverables and maintain the compliance calendar to ensure timely completion of reporting, reviews, and regulatory requirements; monitor, document, and test written compliance policies and procedures

·       Reviewand ensure compliance with client reporting requirements including those of domestic and foreign-based investment companies and other clientele; assist in monitoring trading desk activities (pre-/post-trade investment guidelines, compliance with the Code of Ethics and review of advertising and marketing materials

·       Assist with new employee and ongoing compliance training; manage compliance requirements for client onboarding and ongoing due diligence and participate in various projects as requested


·       At least 1 year of compliance or paralegal experience at an SEC registered investment advisor or law firm; Bachelors Degree preferably with a concentration in law, business, finance or accounting

·       Understanding of the following is desired: Investment Advisers Act of 1940 and Investment Company Act of 1940, ERISA, OFAC, CFTC, FINRA, FinCEN, or other ex-US regulatory requirements, but not required 

·       Experience with proprietary ETFs also beneficial

Job Reference #1347

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