Compliance Associate

Connecticut

Job Reference #1821

Our client, an established investment management firm, is seeking a motivated Compliance Associate to join their growing team. This position will report to the Chief Compliance Officer. 

Key Points

  • Work for an established firm with a 20+ year track record of success 
  • Firm has had positive performance in 2021 and 2022 on top of their long standing track record
  • Excellent quality of life, phenomenal benefits, and beautiful office with 2 work from home days/week 
  • Opportunity to work across a host of compliance matters in an elite team

Responsibilities

  • Administer the Code of Ethics to all employees and assist in all aspects of the employee onboarding process
  • Monitor all communications and ensure compliance
  • Collaborate with the team developing and administering compliance testing
  • Prepare for regular compliance reviews, exams and certifications; manage and submit regulatory filings
  • Prepare for board meetings and other internal and external meetings
  • Manage the firm’s 3rd party due diligence program as well as maintain the firm’s compliance manual and calendar
  • Assist in or lead compliance projects as needed

Qualifications

  • Bachelor’s degree and at least 4-6 years of relevant compliance experience, preferably at a buy-side firm
  • Experience with a 3rd party vendor managements program
  • 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 as well as work independently on a variety of projects
  • Fully vaccinated for COVID-19