Summary
Looking for a Compliance Associate to handle and assist on Compliance functions and act as a key team member.
Company Information:
Asset management firm providing services to investors with $40B in AUM
Job Description:
- Provide securities and advisory regulatory compliance support
- Participate in day-to-day compliance operations
- Advise firm personnel on Advisers Act and Investment Company Act
- Support day-to-day compliance obligations, including the Compliance Department’s Core Compliance” function, and the firms Code of Ethics monitoring
- Proactively monitor compliance developments within the industry to ensure the firm’s policies and procedures are meeting regulatory requirements
- Perform ongoing compliance surveillance for the firm and of service providers and perform testing and monitoring functions
- Help with miscellaneous tasks as required, including data input, data retrieval, and recordkeeping
Requirements / Qualifications:
- 3-5 years of experience working in financial services compliance, ideally with knowledge of complex private fund structures a plus (e.g., hedge funds, private equity funds, real estate funds), OR a CPA, auditor, consulting background. paralegal experience at a law firm or in the financial services industry.
- Policy and procedures drafting experience a plus
- Experience with SEC and NFA filings a plus
- Demonstrated proficiency in project management, including planning, execution, and successful delivery
