Investment Advisory Firm

Compliance Associate, Boston, MA

Compliance Associate (Boston, MA): Our client, a successful investment advisory firm with north of $13B in AUM, is looking to bring on a bright compliance professional with a desire to expand their knowledge within the space. This person will be working closely with and reporting to the firm’s Compliance Officer, along with various team members across the all functions. 


Key Points:

  • Great opportunity for someone young in their career to gain exposure to all areas of a compliance program
  • Firm takes good care of their employees and has very low turnover
  • Position will have exposure to senior management
  • This hire can take on more and more as they prove capable
  • Firm offers a competitive compensation and benefits plan


  • Collaborate with the marketing, operations and trading teams, to coordinate and respond to client certification requests and client reports
  • Assist with the preparation of required regulatory filings, as well as proper submission to the appropriate regulatory entity
  • Provide support with the execution of policies and procedures, including reviewing and testing
  • Review trade alerts, ensuring compliance with client investment policy statements 
  • Attend industry conferences on regulatory compliance matters 
  • Assist with client meeting preparation and complete other ad-hoc projects as needed


  • 1 – 3 years of relevant experience within the alternative asset management space; bachelors degree required
  • Previous compliance and/or audit experience or experience is preferred; must have a positive, but persistent attitude on all compliance matters and issues
  • Exceptional communication and interpersonal skills as this role is extremely visible across all levels of management; strong problem solving and organizations skills 
  • Comfortable working in a fast-paced environment with the ability to effectively manage multiple projects and deadlines, with minimal supervision 

Job Reference #1522

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