Compliance Associate

New York, NY

Job Reference #1768

Our client, a unique investment manager with over $2B in AUM, is hiring for a #2 individual to support their GC/CCO.  Working for a dynamic fund with a 10+ year track record, this new hire will gain exposure to all aspects of the compliance program and work under the leadership of an incredibly successful GC/CCO.

Key Points

  • Unique investment offerings inclusive of private equity, crypto, and venture capital allowing this new hire a chance to gain exposure across a number of strategies
  • GC/CCO is awesome – dynamic, excited to train and mentor someone, as well as understanding and thorough
  • Firm is boutique in size giving this new hire a ton of visibility across the firm and with external parties

Responsibilities

  • Work with the GC/CCO on compliance testing and oversight
  • Assist with the administration of the firm’s Code of Ethics and regulatory reporting
  • Conduct vendor due diligence and investment monitoring
  • Maintain the firm’s compliance manuals and compliance calendar
  • Review marketing materials, pitchbooks, and DDQs
  • Keep abreast of and monitor regulatory developments

Qualifications

  • 2-5 years of related legal or compliance experience at a law firm, compliance consultant or fund
  • Bachelor’s degree required; JD optional
  • High level of attention to detail, self-motivated, proactive, resourceful, strong organizational skills, willingness to work hard
  • High level of professionalism and ability to work constructively both internally and externally
  • Sense of humor