Compliance Associate

New York, NY

Job Reference #1907

Our client, a growing asset manager with north of $10B in AUM, is eager to bring on a competent compliance professional to join their lean team. The candidate of choice will be working alongside the GC/CCO, overseeing the day-to-day compliance functions and spearheading larger compliance projects. This is a fantastic opportunity to expand your compliance knowledge by getting involved in all aspects of a compliance program under an incredible mentor. 

Key Points:

  • Individual will have the ability to work closely with knowledgeable, supportive and experienced women
  • Working alongside the GC/CCO who believes in open communication and will spend a tremendous amount of time mentoring
  • Position offers an opportunity to join a lean and dynamic team allowing this person to “make their mark” within this role
  • Tons of room to develop professionally and take on other initiatives within the legal and compliance space
  • Compliance is viewed as a partner to the business; not a police officer 


  • Assist with the creation and administration of the firm’s Code of Ethics (reviewing quarterly/annual certifications, account statement review, gifts & entertainments, personal investment pre-clearance and monitoring, conflicts of interest, and political contributions); assist with regulatory reporting and filings including, Form ADV, Form D, Form PF, 13H, 13F etc. 
  • Supervise expert network and consultant calls; assist with the review of forensic testing and maintenance of compliance policies and procedures 
  • Review marketing materials and due diligence questionnaires; monitor compliance with contractual requirements to clients and investors (investment management agreements and side letters
  • Conduct vendor due diligence and inside information monitoring; draft compliance reports and assist with employee email surveillance 
  • Liaise with various teams and external service providers; assist with new employee onboarding and preliminary compliance trainings


  • 4+ years of relevant compliance experience, preferably within the investment management space (asset manager, hedge fund, investment bank, or law firm working with the private funds group); bachelor’s degree required
  • Knowledge of regulatory filings (Form ADV, Form D, Form PF, 13H) and experience managing code of ethics is a plus
  • No big ego and a willingness to help/get involved in all aspects of compliance, big or small; approachable with a professional demeanor as this hire will be working closely with all levels of management
  • Extremely detailed-oriented, comfortable adapting to changes within the compliance space with a positive and energetic attitude; excellent verbal and written communication skills

Compensation:$140-220k base; $175-280K all-in