Senior Associate

New York, NY

Job Reference #1833

Our client, an incredibly successful and diverse investment manager with over $30B AUM, has a newly created opening on their meticulously growing compliance team. This new position will be given a chance to oversee all aspects of the compliance program gaining exposure to all investment strategies and compliance functions.

Key Points

  • Organization has extremely stable capital and is growing their institutional investor base across the globe
  • Hiring manager is someone we know and trust tremendously – he has an exceptional background in compliance and will be a solid mentor and advocate for this new hire
  • Widely diverse investment strategies offering a compliance professional an unparalleled opportunity to expand their compliance career

Responsibilities

  • Serve as a leader to support in all aspects of the Compliance Department including Code of Ethics, testing, training, and surveillance/monitoring
  • Assist with reviewing and editing all external communication including marketing materials, investor reports and questionnaires
  • Participate in trade surveillance using Bloomberg AIM
  • Oversee new hire onboarding and employee compliance training
  • Field all external inquiries in collaboration with other teams within the firm and address regulatory requests from regulators
  • Update compliance policies and procedures and collaborate with outside compliance consultants
  • Complete other compliance related tasks as needed

Qualifications

  • Bachelor’s Degree, JD or MBA a plus
  • 2 or more years of relevant compliance experience at another registered investment advisor (private equity, hedge fund, traditional asset manager, etc.)
  • Strong knowledge of Advisers Act Code of Ethics and investment guidelines
  • Ability to work independently as well as part of a team and among various levels of management
  • Superior verbal and written communication skills, with the ability to communicate effectively and ability to work in a fast-paced environment

Compensation: up to $250k all in