Compliance Associate/Senior Analyst

New York, NY

Job Reference #1918

Our client, a successful, global investment manager with over $60B in assets, is seeking a motivated compliance professional to join their collaborative team in a newly created position.  Surrounded by top talent, this new hire will work closely with five other mid-level individuals while working closely with four senior compliance professionals across the entirety of the compliance program.

Key Points: 

  • Firm is established, actively growing, expanding their investment strategies and deploying capital
  • Firm emphasizes a strong teamwork environment with tons of collaboration between departments and within the compliance team
  • Opportunity to work in a team setting gaining exposure to all areas of compliance and playing an integral part of the team

Responsibilities:

  • Remain current on industry trends and adjust the compliance program as needed
  • Revise and maintain the firm’s compliance policies and procedures
  • Ready the firm for SEC audit and other regular testing and reporting requirements
  • Supervise firm-wide employee compliance training
  • Review marketing materials
  • Prepare regulatory filings, regulatory reports, and testing documentation
  • Contribute to the transactional and counterparty KYC process

Qualifications:

  • Bachelor’s degree and at 4-6 years of relevant compliance experience
  • Ability to communicate and work with all levels within the firm
  • Comfortable working in a fast-paced environment, with a keen sense of prioritizing workload and time sensitive projects
  • Motivated, self-driven and proactive with an entrepreneurial mindset

Compensation: $120-150K base; $180K all-in (dependent on experience)