Investment Firm

Compliance Associate, New York, NY

Compliance Associate (New York, NY): Our client, a successful investment firm with over $100b in AUM, is seeking a compliance and legal professional to join their growing team.  This person will report directly to the Chief Compliance Officer and Managing Director and will be providing support in all compliance and legal matters.

Key Points:

  • Person will gain exposure to all areas of the compliance program 
  • Opportunity to cross train with other groups  
  • Small team, offering exposure directly to the CCO and senior management 
  • Firm is very stable 


  • Draft and review legal documents for the firm’s fund of funds products (PPMs, LPAs, subscription documents and transfer agreements); oversee SEC, CFTC and other foreign regulatory filings
  • Develop, review and draft compliance policies and procedures; liaise with fund directors and oversee investor onboarding process including: side letters, distribution relationships and working with administrators who conduct AML
  • Keep up to do date with regulatory developments and implement new policies and procedures; coordinate with investment and operational personnel, assisting inthe implementation of the compliance programs and all business matters 


  • J.D. with 3 - 5 years of relevant compliance experience within the alternative investment space or financial services; strong writing capabilities and excellent organizational skills
  • Knowledge of the Investments Advisors Act of 1940 and day-to-day legal and compliance matters of private funds or as a practicing fund lawyer; exceptional interpersonal skills as this position requires communicating across all levels of management
  • Desire to work as part of a collaborative team, handling multiple time-sensitive tasks; self-motivated, energetic, polished individual who will thrive in a face-paced environment

Job Reference #1450

facebook twitter linkedin

Designed by Tradical360, an SEO Company in New York, NY