Mutual Find

Compliance Associate, New York, NY

Compliance Associate (New York, NY): Our client a Mutual Fund with $20b in AUM is seeking a Compliance professional to join their thriving legal and compliance team. This new hire will report to the Chief Compliance Officer.


Key Points: 

  • Firm is family owned and has a true entrepreneurial spirit 
  • Company is growing and recently launched several new funds 
  • CCO is a true mentor and is huge on professional growth  
  • ·Opportunity to take ownership and continue to build the compliance program  


  • Review policies and procedures with various departments, advisors and funds; assist with post-trade investment compliance monitoring activities
  • Assist with mutual fund trade restrictions and guidelines including 1940 Act limitations on Charles River OMS; assist with compliance testing in all areas (insider trading surveillance, market manipulation and TCA)
  • Research and communicate findings of documented exceptions with the Chief Compliance Officer, Compliance Manager and Fund Administrator; suggest new tests to be developed and review/organize information to support test results
  • Communicate with portfolio managers in an active trading environment; assist with preparing compliance reports and answer DDQs while responding to other compliance inquires


  • 3+ years of relevant experience in a compliance role; bachelors degree required;
  • Knowledge of the investment advisor, and mutual fund industry (risk management, compliance monitoring and fund administration); understanding of regulatory requirements for the financial services industry
  • Experience with evaluating and drafting compliance, related policies and procedures; effective communication skills with both internal and external personnel;
  • Exceptional research skills; ability to manage multiple deadlines and duties

Job Reference #1531

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