Compliance Associate

New York, NY

Job Reference #1870

Our client, a $8B+ international investment manager, is seeking a motivated Compliance Associate to join their dynamic team.  This is a phenomenal opportunity to join a collaborative, cohesive, and supportive team of individuals working on a 3-person US compliance team.  Firmwide, the team is in the office 5 days/week so any interested party should be comfortable in an in-office environment.

Key Points

  • The positive energy permeates the office – ‘this is a place where someone can come and be happy’
  • Firm culture around compliance is outstanding – the CIO loves partnering with compliance and people respect and value this team’s work
  • Management takes everyone’s careers seriously – they sit down to discuss career trajectories with new hires and throughout people’s tenure with the team
  • Company is growing and successful – phenomenal opportunity to join a thriving business   


  • Assist in administering the Code of Ethics to all employees; monitor employee compliance and assist with employee compliance training
  • Assist with the review of marketing materials and other communications to ensure compliance
  • Work with the team to prepare for regular compliance reviews, exams and certifications
  • Manage and submit regulatory filings
  • Coordinate the due diligence process for outside service providers; maintain compliance records for the firm
  • Monitor for changes in industry requirements and adjust the compliance program as necessary


  • Bachelor’s degree and at least 2 years of relevant compliance experience in the investment management industry
  • Working knowledge of US and UK industry regulatory requirements; Experience with FA, CFTC, FCA and exchanges
  • High attention to detail, strong organizational skills and the ability to excel in a fast-paced work environment
  • Ability to work and effectively communicate with a team
  • Dedicated, pro-active, problem-solving mindset

Compensation: $100-130K base