Compliance Associate

New York, NY

Job Reference #1816

Our client, a successful credit fund with north of $3b AUM, is seeking a motivated legal/compliance professional to join their team. This position will report to and work directly with the Chief Compliance Officer and General Counsel to manage all compliance issues.

Key Points

  • Opportunity to work hand in hand with the GC/CCO who is eager to mentor and allow this person to expand their skill set
  • Firm offers great benefits, competitive compensation, and fun employee outings (including international offsites!)
  • Role will track to become CCO as this new hire gets up and running
  • Founder is eager to keep expanding the firm’s AUM and there is no shortage of opportunity for growth here

Responsibilities

  • Review communications and materials for the investment team
  • Provide support with annual regulatory examinations, testing and reporting
  • Manage employee compliance training and oversee routine employee reviews
  • Maintain relationships with outside vendors and ensure compliance with Firm’s policies and procedures
  • Remain current on industry compliance trends and update program as needed
  • Assist with general compliance issues for the firm

Qualifications

  • Bachelor’s degree and 3 to 8 years of relevant compliance experience; JD preferred
  • Strong knowledge and understanding of SEC rules and regulations
  • Ability and confidence to proactively catch and manage potential compliance issues
  • The ability and confidence to communicate effectively and with all levels of management