Investment Advisor

Assistant Counsel/Compliance Coordinator, New York, NY

Assistant Counsel/Compliance Coordinator (New York, NY): Our client, a tremendous Investment Advisor with over $5 billion in AUM, is looking to bring on a motivated and experienced legal and compliance professional to join their NYC team.  This person will report to the Chief Operating Officer and General Counsel.


Key Points:

  • This new hire will have a high level of responsibilities and a decent amount of autonomy
  • GC/CCO enjoys mentoring and prides himself on the success of those on his team
  • Cultural fit is extremely important. They are an open, ethical, collaborative place
  • Equinox is subsidized fully and the firm is huge on employee events and engagement


  • Oversee Code of Ethics administration (reviews of personal trading and gifts); assist with monitoring pre-and post-trade compliance with social and investment trading restrictions
  • Review and maintain Compliance Calendar; coordinate client intake process with client service (AML checks, review of documents and forms)
  • Assist in updating, maintaining and testing the firm’s policies and procedures, and conducting Annual Review; administer firm proxy voting program
  • Assist with preparation for mutual fund, hedge fund and UCITS legal and compliance matters; completion of client questionnaires and due diligence inquires


  • 3-5 years of relevant experience and a J.D. is required; experience in a similar compliance role within an investment advisory firm
  • Experience with mutual funds, hedge funds and UCITS helpful; series 7, 24 license or willingness to sit for the exams
  • Experience with Charles River Development system is very important to this firm; exceptional organizational skills and strong interpersonal skills
  • Excellent computer skills, including Excel and Word; ability to work with colleagues from various teams, as well as independently

Job Reference #1371

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