Compliance Associate “Plus”

New York, NY

Job Reference #1922

Our client, a $3B+ investment manager, is seeking a motivated Compliance Associate to join their dynamic team.  This is a phenomenal opportunity to join a collaborative, growing, and supportive team of individuals in a newly created position within the firm.  The hiring manager is someone who has developed and fostered the growth of his subordinates in past firms and he’d love to hire someone inspired and eager to learn under he and the CCO’s leadership.  Given the firm’s lean build, the team would love to hire someone whose focus will be on compliance but who is willing and excited to pitch in other areas (investor relations, operations, diligence, business strategy, etc.) as necessary. 

Key Points: 

  • The energy is invigorating – the firm is on a tremendous trajectory with substantial growth over the next few years ahead
  • Firm culture around compliance is strong 
  • Management takes everyone’s careers seriously – the GC/COO wants to position this individual to have a long runway internally and gaining key skills for their future success 
  • Company is growing and successful – phenomenal opportunity to join a thriving business  

Responsibilities:

  • Assist in administering the Code of Ethics to all employees; monitor employee compliance and assist with employee compliance training
  • Assist with the review of marketing materials and other communications to ensure compliance
  • Manage and submit regulatory filings
  • Perform regular compliance testing, prepare for regular compliance reviews, exams and certifications
  • Coordinate the due diligence process for outside service providers; maintain compliance records for the firm
  • Monitor for changes in industry requirements and adjust the compliance program as necessary
  • Assist with tasks outside of compliance as necessary 

Qualifications:

  • Bachelor’s degree and at least 2 years of relevant compliance experience in the investment management industry
  • Working knowledge of US 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
  • Dedicated, pro-active, problem-solving mindset
  • A ‘put me in coach’ mentality when it comes to helping other groups and team members 

ompensation: $120-150K base + bonus (dependent on experience)