Investment Manager

Senior Compliance Associate, New York, NY

Senior Compliance Associate (New York, NY): Our client, a prestigious investment manager with over $40B in AUM, is eager to bring on an experience compliance professional to join their growing team in NYC. This person will be supporting the Chief Compliance Officer on all regulatory matters for the firm.

Key Points: 

  • Firm is actively growing across the credit, private equity, and equity space prompting this newly created position 
  • CCO encourages learning opportunities and prides himself on mentorship and providing guidance across all areas of compliance 
  • ESG and sustainability are highly valued 
  • Firm has consistently won prestigious awards as one of the best credit managers in the industry 
  • True generalist role which will allow this new hire to round out their experience and continue to learn 


  • Assist with the preparation and submission of regulatory filings; support regulatory reviews as it relates to regulatory exams and respond to regulatory inquiries
  • Assist in reviewing and tracking marketing materials and marketing activities; conduct numerous compliance and surveillance reviews
  • Conduct compliance training including the preparation of materials; develop and maintain strong knowledge of rules, regulations and industry best practices while assisting with monitoring relevant developments and filing schedules
  • Assist with the development and updating of compliance policies and procedures to meet business needs


  • At least 5 years of relevant compliance experience, preferably from another asset manager; JD preferred but not required
  • Knowledge of equity markets and trading strategies is ideal; familiarity with Bloomberg
  • Strong analytical skills; proficiency in Excel
  • Strong analytical capabilities, with excellent communication and drafting skills; acute attention to detail
  • Mature, self-confident, and high-energy; ability to work autonomously

Job Reference #1709

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