Compliance Associate

Compliance Associate/Analyst (title will depend on level of experience), New York, NY: Our client, a growing asset manager, is seeking a Compliance Associate/Analyst to support all aspects of the firm’s compliance function. Reporting to the Chief Compliance Officer, the Compliance Associate will join a dedicated team and play a key role in managing the firm’s compliance program. The ideal candidate enjoys working in a fast-paced environment and collaborating with colleagues and is adept at managing multiple tasks simultaneously to completion.

Highlights:

• Position is open due to their continued growth and complexity
• This role reports directly to the CCO and will offer exposure to the entire program
• Firm offers a young, fun, and entrepreneurial culture
• WFH policy: 4 days in the office and 1 day from home

Responsibilities:

• Administering all aspects of employee Code of Ethics compliance program
• Assisting with the preparation of regulatory filings
• Conducting periodic compliance testing and review processes, including e-mail surveillance, monitoring and periodic certifications and testing processes
• Designing and building compliance rules and automation projects
• Monitoring the Firm’s internal controls for effectiveness; assisting with annual reviews and risk assessments
• Maintaining books and records and ensuring completion of files
• Interacting with other stakeholders at the firm, including the operations and investment teams
• Identifying and resolving inefficiencies in current compliance workflow processes
• Working on various ad-hoc reports and projects