Investment Advisor

Compliance Associate , New York, NY

Compliance Associate (New York, NY): Our client, an investment advisory firm, is seeking a talented Compliance Associate to join their team. This new hire will report directly to the Chief Compliance Officer and will work closely with the General Counsel and legal team. 


Key Points: 

·      Firm manages a wide array of investment vehicles and has a long, and successful track record; success is measured not only by performance, but in value added to investors 

·      First hire under the CCO who is ready to hand off as much work as possible to grow this new hire’s skill set 

·      Ability to work closely with senior management and partners of the firm 

·      Excellent benefits and quality of life 


·      Perform reviews of compliance procedures; update and assess internal controls, processes and policies 

·      Monitor trading activity and effectively communicate with the firm’s trading desk; review and maintain the firm’s Restricted List 

·      Conduct AML/KYC reviews and assist with regulatory reporting obligations including ADV and AIFM 

·      Liaise with outside counsel and compliance consultants internationally 


·      Minimum of 3 years of financial services experience preferably in compliance, audit, or risk  

·      Ability to produce high quality work in a rapidly changing environment with tight deadlines 

·      High level of professionalism and ability to represent the firm, both internally and externally; adaptability to handle on-going regulatory developments 

·      Experience with Charles river, Enfusion, Eze, or Sungard is desirable 

Job Reference #1363

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