Investment Advisor

Compliance, Finance and Operations Associate, New York, NY

Compliance, Finance and Operations Associate (New York, NY): Our client, a new multimillion-dollar registered Investment Adviser seeking a detail-oriented Compliance, Finance and Operations Associate to support the maintenance and oversight of the regulatory compliance program and overall operations. This role provides exposure to all areas of the business in a new and growing firm with a strong entrepreneurial spirit, located in the Flatiron district of NYC.


Key Points:

  • Ability to work directly with the a Managing Partner across Compliance, Finance and Operations
  • Exposure to all areas of the fund, where nothing is off limits
  • The ability to grow with the firm in terms of responsibilities and title
  • Join a young, entrepreneurialenvironment that is growing rapidly   


  • Work closely with Chief Compliance Officer to integrate new strategies/products, firm initiatives, and regulatory changes into compliance framework; review and track employee responses to compliance questionnaires and certification
  • Daily reconciliation review (trades, positions, settlements, confirmations) with internal trade system and service providers (Fund Accountants and Custodians and brokers); assist CFO with expense budgets and payments 
  • Assume key role in ensuring compliance with applicable SEC regulations for Investment Advisers; coordinate firm-wide training regarding regulatory compliance obligations, including enhancements of a compliance manual
  • Assist with request for proposals (RFPs) for prospective clients; assist Marketing Director with maintaining and developing materials from FactSet
  • Assist with regulatory reporting efforts; assist in maintaining policies & procedures, regulatory risk-matrix and the firm’s compliance calendar
  • Help compile/review Board reports and assist with request for proposals (RFPs); facilitate review of employee personal trading statements and pre-clearance reportsto ensure compliance with policy


  • 3 years of compliance experience at an Investment Advisor is preferred; bachelors degree, CPA and/or accounting/administrative background for Investment Advisers or Mutual Funds
  • Knowledge and understanding of industry rules & regulations; proficiency in Microsoft Office applications, excellent excel skills a plus
  • Knowledge of EzeCastle trade system, SFTP communications a plus; familiarity of Separately Managed Account administration 
  • Ability to effectively multi-task, manage deadlines andlearn quickly; superior attention to detail

Job Reference #1373

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