Investment Advisor

Compliance Associate, New York, NY

Compliance Associate (New York, NY): Our client, an established investment advisor with north of $15b in AUM is looking to bring on a motivated compliance professional to join their team of two. This role will be working directly with the GC/CCO/COO and Director of Compliance in a true generalist capacity. 


Key Points: 

  • Opportunity to work under a knowledgeable and talented Director of Compliance who is keen to mentor and grow this new hire’s skill set within compliance 
  • Firm is actively growing and is constantly seeking new opportunities and ideas to keep the business fresh and profitable 
  • Position faces off with every internal group so this is a high touch and high visibility role 
  • Firm offers strong work/life balance and encourages a positive, collaborative culture 


  • Analyze and assess multifaceted finance documents/applications against risk and compliance frameworks; develop security control assessment reports, plans of action and milestones, and artifacts to support authorizations
  • Ensure legal elements in corporate transactions follow to regulatory guidelines; assist with overseeing securities portfolios and marketing materials
  • Plan and execute tools such as Governance, Risk and Compliance (GRC); handle security audit and accreditation processes
  • Mediate contentious situations and develop consensus; build bridges across organizational boundaries and communicate with team members in management


  • 1 – 2 years of relevant compliance experience within financial services; bachelors degree
  • Advanced Microsoft Excel and Word skills are required; demonstrated ability to organize and track projects
  • Experience writing corporate security policies and managing the approval and full lifecycle of said policies; strong communication skills

Job Reference #1447

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