Compliance Associate/Senior Associate

Westchester, NY or Remote

Job Reference #1854

Our client a boutique consulting firm that offers investment advisers support, is looking to bring on a compliance professional to join their team.  This position will offer exposure to all facets of a variety of compliance programs including hedge funds and private equity funds.    The position also offers the opportunity to earn commissions if this person can bring in additional business. 

Key Points

  • Opportunity for someone still young in their career to gain broad asset management compliance 
  • Entrepreneurial group, allowing this person to have a say and be a key contributor to the growth of the firm
  • Exposure to senior management – all members have 10+ years of asset management experience from reputable firms 
  • Work from home policy:  depending on where a person lives, this position can be fully remote


  • Conduct compliance testing and e-mail surveillance reviews; research compliance issues
  • Support senior consultants with client engagements (tracking and monitoring, prepping for reviews and meetings); assist in the preparation of regulatory filings, including Form ADV
  • Review marketing materials; onboard and monitor compliance software platforms for clients
  • Prepare policies and procedures, memoranda, reports and other client deliverables; conduct compliance training sessions and participate in client meetings/reviews


  • At least 2 years of regulatory and compliance experience with an investment advisor, law firm or consulting firm; SEC experience is preferred but not required
  • Prior experience monitoring a compliance program and preparing regulatory filings; knowledge in forensic testing and implementing or monitoring compliance software platforms is a plus
  • Excellent writing and communication skills; strong proficiency in Microsoft Office and attention to detail

Compensation: Up to $150k all in, depending on experience