Asset Manager

Compliance Associate, New York, NY

Compliance Associate (New York, NY): Our client $2.5B+ asset manager is seeking an eager and motivated compliance professional to join their growing team. Specifically, this new hire will be working closely with the compliance team to enhance the firm’s compliance program.


Key Points: 

  • Culture is collaborative, friendly, open, and supportive 
  • Position will offer exposure to all areas of compliance under the CCO 
  • Firm is growing and will allow this person to continue to build their skill set and grow their career quickly 
  • Excellent benefits, compensation, perks (employee events, free lunch, fully stocked kitchen!) 


  • Conduct compliance monitoring and testing, while assisting with developing new policies and procedures; make recommendations for implementing new compliance initiatives; assist with recordkeeping and managing the compliance calendar
  • Ensure compliance with the Code of Ethics, collect and review personal trading, certification, outside business activities, and political contributions documentation; complete required regulatory filings in a timely manner 
  • Collaborate with various departments on relevant compliance initiatives; assist with ongoing and new hire compliance training 
  • Stay up-to-date with regulatory developments and best practices; communicated with the firm’s external compliance consultants and legal personnel on regulatory matters


  • 1 – 3 years of relevant compliance experience within the alternative asset management space, compliance consulting or wealth management firm; bachelors degree required
  • Knowledge of rules and regulations applicable to SEC-registered investment advisers, including the Investment Advisers Act of 1940, other federal securities laws and regulations, and CFTC regulations 
  • Exceptional organizational skills with the ability to work well under tight deadlines; strong written and verbal communication skills
  • Proactive mindset with a genuine interest in expanding one’s industry knowledge within compliance; strong excel skills is preferred

Job Reference #1535

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