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)
Responsibilities
- 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
Qualifications
- 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)