Senior Compliance Associate

New York, NY

Job Reference #1910

Our client, a successful investment fund with over $2B in capital, is hiring their second compliance professional to join their team GC/CCO in a generalist capacity. This new hire will work across all areas of the compliance program with a direct path to become CCO of the fund in several years. 

Key Points: 

  • Extremely bright founder with a tremendous reputation in the industry
  • Firm invests in both public and private markets
  • First fully dedicated compliance hire under the GC/CCO offering exposure to all areas of the program
  • The GC/CCO encourages an entrepreneurial mindset where ideas of all kinds are welcome
  • Work-from-home policy: 4 days in the office and 1 day from home


  • Develop and implement compliance policies and procedures and oversee employee compliance training
  • Provide support with annual testing and reporting and get the firm “exam ready”
  • Review marketing materials and other marketing communications
  • Maintain relationships with outside vendors to ensure compliance with the firm’s policies and procedures
  • Support GC/CCO with trade-related compliance matters
  • Serve as an internal resource for employees and update internal policies, procedures, and other information as needed


  • 4+ years of relevant compliance experience out of a fund
  • Bachelor’s degree required; J.D. a plus
  • Strong knowledge and understanding of the Investment Advisors Act of 1940, Investment Company Act, and Securities Act
  • Experience with U.S and international regulators
  • Confidence to effectively communicate with all levels of management
  • Ability to work independently as well as part of a team in a fast-paced, demanding environment

Compensation: $200-300K all-in