Investment Advisory Firm

Compliance Associate, New York, NY

Compliance Associate (New York, NY): Our client, a global investment advisory firm is eager to bring on a bright and motivated compliance professional to join their lean team in NYC. This person will be focusing on monitoring and implementing regulatory requirements that impact the firm, reporting directly to the Chief Compliance Officer and Regulatory Counsel. This role will support the growing asset management business, from a securities/equities and global controls perspective. 

Key Points: 

  • Exposure to all areas of the compliance program 
  • Firm is growing and adding this position due to their continued growth 
  • Stable asset base with multiple business lines 
  • Firm is making investments across new and exciting areas (ESG and Carbon Credits 


  • Conduct surveillance of equity and futures/commodity trading for both the investment advisor and the firms proprietary trading side of the business; assist with administering compliance policies and procedures (employee compliance monitoring, email reviews, regulatory filings and recurring compliance obligations)
  • Draft and update policies, assist with board meeting preparations, and management of all forms of corporate records, filings, registrations, and trackers; assist with the maintenance of the firm’s Compliance Manual, Code of Ethics, Matrix and relevant trackers
  • Conduct various compliance trainings and new hire trainings; assist in preparing for, and responding to regulatory inquiries and examinations
  • Monitor and maintain employee personal trading activity across the firm; maintain and update the compliance calendar
  • Assist with building and maintaining the firm’s policies and procedures around MNPI and Information Barriers (expert network and NDA reviews)


  • At least 2 years of relevant compliance experience, preferably in regulatory compliance; knowledge of SEC regulations/equities trading, and CFTC/NFA/exchange regulations is advantageous
  • Strong attention to detail and organizational skills; ability to work on numerous time-sensitive projects
  • Excellent communication skills; must be comfortable working in a team-oriented and fast-paced environment
  • Must be comfortable working autonomously, with the ability to meet tight deadlines; this person should have a positive and energetic attitude
  • Proactive approach in taking on new initiatives; strong analytical mindset

Job Reference #1693

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