Compliance Associate

Our client, a global alternative investment management firm, is looking to hire a Compliance Associate to join their New York team. This individual will help with core Compliance/Code of Ethics responsibilities.  This individual will also be involved with the review of marketing materials for global Client Partnerships & Business Development.  The individual will also support in onboarding market data vendors and research consultants in key Compliance monitoring activities, including virtual data room analysis and expert calls.  The ideal candidate will be excited by all things compliance and be intellectually curious by nature.  This is a growth-oriented role.

COMPANY: Alternative Investment Management Firm

POSITION: Compliance Associate

LOCATION: New York, NY

HOURS: 9am-6pm 

IN OFFICE REQUIREMENTS: 4 days in / 1 day remote

COMPENSATION: 170-185k (total comp target)

BACHELOR’S DEGREE: Required, strong academic performance preferred

Responsibilities of the Compliance Associate:

-Support global marketing material review work, collaborating closely with the Chief Compliance Officer and Legal Counsel, as well as the firm’s Sales & Marketing Group across their global offices

-Expert network call approval and chaperoning and virtual data room monitoring

-Support in management of Firm’s Code of Ethics in relation to Personal Account A Trading, Gifts and Entertainment, Outside Business Interests and Private Investments

-Monitor and implement applicable policy developments

-Manage and monitor trading activities in relation to best execution, annual reviews, and policy updates as well as top 5 venue reporting

-Maintain breach and complaint registers

-Help formulate and provide expert advice in laws, rules, and regulations applicable to the firm

-Support routine trade surveillance and “wall crossing” across investment strategies, potential to provide more detailed analysis on complex MNPI related conflicts (the firm will train a willing and capable applicant)

-Management of electronic communications policies, including email review and recorded telephone calls and ensuring compliance with firm approved communication channels policy

-Support onboarding and renewal of market data vendors and research consultants

Requirements of the Compliance Associate:

-Bachelor’s degree with GPA of at least 3.3

-2+ years of relevant compliance experience in alternative investment management firm or investment bank

-Experience with marketing material review across multiple jurisdictions

-Familiar with core Compliance / Code of Ethics and monitoring

-Excellent written and verbal communication skills

-Able to lead complex initiatives, push for performance outcomes and cultural excellence

-Delivers high quality results, time-bound results with positive impact to the department / Firm, while driving the team to do the same

-Professional and friendly demeanor, strong work ethic and strong collaboration skills are a must

-Must be a team player who works well under pressure, demonstrating reliability and resourcefulness  

-Verifications of identity, education, prior employment, and references may be required