Compliance Associate

New York, NY

Job Reference #1877

Our client, a global asset management firm with north of $8B in AUM,  is looking for a motivated Compliance Associate to join their NYC team. This person will be reporting to the Chief Compliance Officer, supporting all efforts within the compliance program for the firm. 

Key Points

  • Opportunity for an up and comer to learn from a talented GC/CCO and grow as a compliance generalist
  • Firm offers a stable and diverse investor base 
  • Ability to take ownership day 1 and to work closely with front office professionals 
  • Firm offers tremendous work/life balance and flexibility (typical hours are 8:30am – 5pm)


  • Assist in implementing and administering the ongoing oversight of the compliance program as required by Rule 206(4)-7 of the Investment Advisers Act of 1940 and other applicable regulatory obligations.
  • Review marketing materials including RFPs and pitchbooks
  • Assist in developing and implementing risk assessment practices and design forensic testing
  • Work with the team to prepare for regular compliance reviews, exams and certifications; Manage and submit regulatory filings
  • Coordinate employee compliance training


  • Bachelor’s degree and 3 or more years of relevant compliance experience in the investment management industry
  • Strong knowledge of the Investment Advisers Act or 1940 and experience with US regulators
  • 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

Compensation: $150k – $250k all in (base plus bonus, will depend on experience)