Our client, a leading investment fund with diverse assets totaling over $30B, is seeking a detail oriented and enthusiastic Compliance Associate to join their team. Working alongside the CCO, the Compliance Associate will have exposure across the firm’s compliance program and work in conjunction with various internal parties and senior management.
Key Points:
- Compliance team is known for their close-knit nature and they value a sense of humor!
- Fund is diverse in product offerings
- Firm as a whole values legal and compliance and views them as a partner to the business
- Strong company benefits, stable assets and a collegial work environment
- Exceptional exposure to all areas of compliance within the firm
Responsibilities:
- Assist with the annual compliance review and preparation of regulatory filings
- Work with the compliance team to update policies and procedure
- Assist with trade surveillance, review marketing communications and manage the firm’s electronic compliance systems
- Administer Code of Ethics and manage restricted list processes
- Assist with new employee compliance training
- Partner with third parties regarding compliance related matters
Qualifications:
- 2-4 years of previous relevant paralegal and/or compliance experience within the finance space
- Exceptional attention to detail is both appreciated and needed in this role
- Eagerness to learn with the confidence and ability to interact effectively 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
Compensation Expectations: $120-160k base salary + competitive bonus