Compliance Analyst/Associate 

New York, NY

Job Reference #1925

Our client, a private investment fund with over $4B in AUM, is hiring for a dedicated compliance professional to join their legal and compliance team under the guidance of a tremendous mentor.  As part of a 3-person team, this new hire will have exposure to the full gamut of compliance responsibilities while also working closely with various members of the team. 

Key Points: 

  • Firm has grown significantly over the past several years, more than tripling in AUM
  • Opportunity has tremendous upside in terms of legal, compliance and operations responsibilities
  • Flat reporting structure offering internal exposure
  • The team is huge on hiring and training new hires to be successful and happy within the organization and in their careers 
  • Firm’s investment philosophy and strategy is environmentally driven and has a fund that invests in underrepresented groups

Responsibilities:

  • Partner with the Compliance Officer to administer the compliance program and Code of Ethics; update compliance policies and procedures
  • Oversee the firm’s restricted list and review any potential conflicts or violations
  • Review marketing materials and monitor upcoming regulatory developments to improve upon the current compliance program
  • Assist with the firm’s regulatory filings and SEC-exam readiness through the annual compliance review and mock audits
  • Manage the firm’s compliance reporting software and assist with new hire onboarding

Qualifications:

  • 1 ½ – 4 years of relevant experience within a similar function at a fund, compliance consultant, or asset manager
  • Bachelors degree from a reputable university with strong academic pedigree
  • Ability to work independently, multi-task and manage deadlines within a fast-paced environment
  • Eagerness to learn new concepts and takes initiative on opportunities
  • Excellent attention to detail 

Compensation: $80-120K base; $150K all-in