Alternative Asset Manager

Compliance Associate, New York, NY

Compliance Associate (New York, NY): Our client, a successful alternative asset manager with over $20B in AUM, is searching for a bright, meticulous, and experienced compliance professional to join their legal/compliance team in NYC. 


Key Points: 

  • Firm is growing rapidly and offers a lot of stability 
  • This person will report to and work closely with the firm’s Chief Compliance Officer who is eager to foster and mold this new hire
  • They offer great benefits with free lunch and a collegial work environment
  • Ability to join a lean team, with exposure to all areas within legal and compliance program


  • Review and coordinate the distribution of investments and other compliance issues that arise as it relates to both credit and real estate deals; maintain internal database of investor side letters
  • Support regulatory reviews and regulatory readiness initiatives; spearhead KYC/AML screening on deal counterparties, brokers, and joint venture partners, while investigating potential red flags
  • Assist in reviewing and tracking marketing materials and marketing activities; track and organize deal documents
  • Assist surveillance team in reviewing portfolio trading and deal pipeline; assist the compliance team with maintaining the Firm’s record information management program
  • Monitor firm interactions with government entities for compliance with gift & entertainment and lobbying laws


  • At least 2 years of relevant paralegal or compliance experience,  preferably from another financial services firm or reputable law firm; bachelors degree required
  • Excellent computer skills required (Microsoft Word, Excel, PowerPoint, Outlook and Adobe); superior verbal and written communication skills, with the ability to communicate effectively and professionally with all levels of management
  • Comfortable working in a fast-paced environment, with a keen sense of prioritizing workload and time sensitive projects; strong attention to detail and organizational skills; 
  • Previous experience handling confidential and sensitive information; must be motivated, self-driven and proactive

 Job Reference #1688

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