Our client, a high-performing investment management firm, is seeking a motivated Compliance Associate to join their team. This position will work closely with the Chief Compliance Officer/General Counsel.
Key Points
- Ability to sit in a #2 seat within legal and compliance, reporting into the GC/CCO
- GC/CCO is WONDERFUL – generous with his time, patient, intelligent, easy going – he will be a tremendous mentor to this hire
- Highly visible role working across the firm’s compliance program, joining a lean team of bright professionals
- Ability to take on more complex work over time
- Organization boasts a long standing and impressive track record
Responsibilities
- Assist in administering the Code of Ethics to all employees
- Manage and submit regulatory filings
- Monitor changes in industry regulations and policies and adjust compliance program as necessary
- Review communications and marketing materials to ensure compliance
- Prepare regular investor reports along with other team members
- Work with the GC/CCO to prepare for regular compliance reviews, exams and certifications
- Collaborate with third party service providers
Qualifications
- Bachelor’s degree and ideally 2-6 years of relevant compliance experience within a hedge fund, investment advisor, compliance consultant or related entity
- Working knowledge of industry regulatory requirements
- 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 projects
- Dedicated, pro-active, problem-solving mindset
Compensation: up to $160k all-in