Compliance Associate

Title: Compliance Associate

Firm: $3.5B+ alternative investment manager

Location: New York, New York

Compensation Range: up to $275k all in (base plus year end bonus)

Hybrid work - 3 - 4 days in the office

Highlights:

Firm has been expanding into the VC space and is actively fundraising here

Opportunity to work #2 to the GC/CCO who is eager and willing to mentor

Opportunity to learn every aspect of investment advisor compliance

Phenomenal culture, perks, and benefits - close knit team who has a great sense of humor

Description:

Assist with administration of the firm’s code of ethics

Assist with regulatory reporting and filings (e.g., Form ADV, Form PF, Form D, 13H, 13F, etc.)

Conduct vendor and investment due diligence and monitoring

Assist with the maintenance of the firm’s compliance manuals, presentations and training materials

Assist with new employee onboarding and initial compliance trainings

Review marketing materials

Maintain investor side letter compendium and monitor compliance with contractual obligations to client/investors

Provide other ad hoc compliance support as required

Requirements:

4+ years of experience in a similar position at an alternative asset manager or compliance consulting firm

BA/BS or equivalent combination of training and experience (JD optional)

High level of attention to detail, self-motivated, proactive, resourceful, strong organizational skills, willingness to work hard

Strong written and oral communication and interpersonal skills

Willingness to grow in areas of responsibility and demonstrate curiosity and an eagerness to learn