Opportunities

 

Multi-Strategy Investment Firm

Compliance Associate, New York, NY

Compliance Associate (New York, NY): Our client, a multi-strategy investment firm with north of $10b in AUM, is looking to bring on a compliance professional to join their growing team.

 

Key Points:

  • Firm has a tremendous reputation and has almost doubled AUM and headcount over the past couple of years 
  • Organization offers a variety of investment products exposing this person to multiple fund types and investment products 
  • CCO believes in collaboration with the business and cross training all team members to become strong generalists 
  • Strong benefits includingbreakfast, lunch, a gym on site, free personal training and yoga 

Responsibilities:

  • Maintain internal controls that detect violations of company policies and procedures; prepare and complete various regulatory filings
  • Manage/review employee requests under the Code of Ethics (Private Placements, Outside Business Activities, Personal Trading); ensure all Code of Ethics and other related certifications are completed
  • Liaise with new hires to ensure that all Compliance onboarding requirements are completed; provide administrative support to the Compliance team
  • Provide support with coordinating and conducting compliance training; manage ad hoc projects for the Compliance team as they arise

Qualifications:

  • 1-2 years of relevant compliance experience within an investment Management Venture Capital & Private Equity firm; experience handling Code of Ethics and Personal Trading requests
  • Excellent attention to detail and strong organizational skills; ability to work on multiple time-sensitive projects
  • Team player with the ability to communicate and work effectively across different departments and senior management
  • Comfortable workingindependently and escalate issues as necessary

Job Reference #1583

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