Investment Firm

Compliance Associate, New York, NY

Compliance Associate (New York, NY): Our client, a diverse and successful investment firm, is eager to bring on a talented compliance professional to join their legal and compliance team. This individual will have exposure to all levels of management and outside business partners, focusing on client accounts and supporting the review of marketing materials for the firm’s registered investment advisers.  This is an exceptional opportunity for an individual with a background in marketing material compliance to join an awesome team in a more versatile, generalist capacity.  


Key Points: 

  • Opportunity to join a growing, diverse, and interesting investment management firm in a newly created position 
  • Individual will be able to leverage his/her/their marketing compliance background into a generalist role
  • Team is awesome – supportive, collaborative, smart, and encouraging of all ideas, questions, and projects – we’ve worked with almost all of them in thepast!


  • Review and update marketing materials; ensure compliance to rules and regulations (request for proposals, due diligence questionnaires, quarterly reporting and other relevant marketing pieces)
  • Maintain compliance monitoring reports, regarding supervised personnel and compliance calendar; assist with on-boarding and training of all new employees 
  • Monitor compliance with the Code of Ethics, as well as policies, procedures and protocols (personal trading, political contributions, outside business activities and gifts and entertainment)
  • Assist with the preparation of regulatory filings such as ADV, PF and 13F; maintain, organize and file compliance books & records
  • Maintain compliance monitoring and reporting systems, including the personal trading and certifications system, and restricted trading list; assist with other complianceprojects as they arise


  • At least 5 years of relevant compliance experience, with a focus on reviewing marketing materials; bachelors degree
  • Familiarity with ComplySci (or other Compliance systems) preferred; experience assisting with the execution and administration of a compliance program a plus 
  • Strong communication and interpersonal skills, comfortable interacting with individuals from all levels of the organization; must have a knack for adjusting priorities in a changing environment
  • Excellent organizational, communication, presentation, and interpersonal skills
  • Proven ability to plan, organize, and meet critical and established deadlines; demonstrated ability to maintain confidentiality and using discretion in the performance of daily activities
  • Proficiency in Microsoft Officeand list other relevant systems or software; capability to learn quickly and work independently and as part of a high-performance team

 Job Reference #1614

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