Compliance Associate

New York, NY

Job Reference #1938

Our client, a large asset manager with over $30 billion in assets, is currently seeking a driven Compliance Associate. Under the supervision of the Chief Compliance Officer and Director of Compliance, the position will focus on assisting in the development and implementation of the firm’s compliance program.

Key Points:

  • This presents a great opportunity for career advancement and a trajectory toward a more senior position and ability to take on more responsibilities with time.
  • Providing an excellent opportunity to receive guidance and collaborate with experienced professionals in a dynamic organization.
  • Excellent opportunity to be involved in diverse areas of compliance.
  • Report into both the GC/CCO and Director/Senior Compliance Officer


  • Monitoring the firm’s Compliance Calendar to ensure timely compliance with regulatory obligations.
  • Support in overseeing and enforcing the firm’s Code of Ethics.
  • Coordinate peer review processes
  • Conduct employee trade reviews and oversee monitoring of external accounts and business interests
  • Perform reviews of employee trades and supervise the monitoring of external accounts and business interests.
  • Assist with preparing and submitting 13F/13G reports and other regulatory filings.
  • Involvement in the firm’s yearly risk assessment and compliance review.
  • Cooperation on Vendor Due Diligence Processes.
  • Assist with conducting reviews of new client relationships and implementing onboarding procedures.
  • Support in Regulatory examinations management of other regulatory affairs as needed.


  • Bachelor’s degree and 2-3 years of pertinent work experience; meticulous attention to detail and a focus on processes.
  • Capability to oversee multiple projects to prioritize accordingly and effectively engage with individuals at different levels of the organization across various roles; outstanding oral and written communication abilities.
  • Must have an interest in legal and compliance topics; readiness to collaborate with the General Counsel/Chief Compliance Officer to uphold the legal and compliance services offered.

Compensation: $125-140K base**; $140-185K all-in