Compliance Associate

New York, NY

Job Reference #1928

 Our client, an established global investment firm with diverse product offerings and over $100B in AUM, is hiring a Compliance Associate to be part of their Global Risk, Regulatory, and Compliance Department to support their firm’s US regulated entities and affiliated broker/dealer.  This is a highly visible role within the organization working closely with business professionals in the NYC office.

Key points: 

  • Firm doesn’t have a formal in-office policy as they have a ton of flexibility; the expectation is that this person will be in the office 3-4 days/week
  • Opportunity to join an organization with a long history of steady investment performance spanning various regions, industries, and strategies
  • Interaction with a dynamic team of extremely bright compliance professionals from all levels of the firm and external contacts

Responsibilities:

  • Support the completion, review, and filing of regulatory reports for the investment advisor and broker/dealer business
  • Monitor employee onboarding and departures to ensure the timely collection of information, delivery and maintenance of documents, and performing AML/KYC reviews
  • Conduct compliance testing and monitoring, and contribute to the implementation of new regulatory requirements
  • Oversee the ComplySci system for personal trading activity and other aspects of the Code of Ethics
  • Aid in preparing and administering the compliance manual and code of ethics
  • Participate in ad-hoc projects, which may include assisting the Global Risk & Control Team with regulatory examinations and initiatives initiated by the Global Chief Compliance Officer

Qualifications:

  • 4-8 years of related legal and compliance expertise in an investment manager, within the funds division at a law firm or within a broker/dealer; a bachelor’s degree is required
  • Series 7 & 24 certifications are helpful (willingness to sit for them otherwise, is required)
  • Expertise with the Investment Advisers Act, Investment Company Act, and Securities Exchange Act are all pluses
  • Proficiency in working independently, meeting deadlines, and being proactive in embracing new ventures; robust analytical and organizational proficiencies

Compensation: $140-180K base + 15% bonus