Compliance Associate

New York, NY

Job Reference #1852

Our client, a $10B multi-strategy asset manager, has a newly created position within their legal and compliance team.  This individual will be the working with four individuals that our team knows extremely well – they are fantastic.  The business is complex and has intriguing investments, so this is an ideal opportunity for a junior legal/compliance professional to gain exposure to their entire business under tremendous leadership.  

Key Points

  • The GC/CCO is intelligent, committed to his team, even-keeled and overall wonderful
  • The three other members of legal and compliance are individuals we’ve placed within the organization and know well – they are bright, supportive, kind, and excited to help onboard this new hire 
  • Incredible exposure to all aspects of compliance functions
  • Exposure to both public and private investment markets


  • Participate in preparing regular investor reports
  • Work with the team to prepare for regular compliance reviews, exams and certifications
  • Collect, draft and distribute data related to regulatory filings and disclosures
  • Collaborate with the legal team to respond to AML/KYC requests
  • Gather information for the annual compliance review and mock SEC exams
  • Assist in administering the Code of Ethics to all employees
  • Manage the compliance calendar, oversee vendor due diligence, monitor employee compliance and assist with employee compliance training
  • Monitor changes in industry regulations and policies and adjust compliance program as necessary


  • Bachelor’s degree and at least 3-5 years of relevant compliance or in-house legal experience
  • Working knowledge of industry regulatory requirements
  • Familiarity with private fund structures and governance required
  • Ability to handle confidential data appropriately
  • High attention to detail, strong organizational skills and the ability to excel in both a group and autonomous capacity

Compensation: $110-155K all-in