Senior Compliance Associate

New York, NY

Our client, a $30B+ asset management firm in NYC, is looking for a Senior Compliance Associate to join a team of 5 – manages 2 Staff and reports into the CCO.






  • Review regulatory developments and assist in implementing procedures to ensure platform compliance with all applicable rules and regulations
  • Review and develop compliance processes, policies, and procedures to demonstrate that the firm has appropriate internal controls
  • Design and implement compliance training programs for various business units and professionals
  • Assist with obtaining and maintaining regulatory licenses and registrations on a global basis
  • Implement a vendor risk assessment and oversight program
  • Assist in preparing for and responding to regulatory inquiries and examinations
  • Assist with compliance testing and mock audits
  • Review and complete periodic client/investor questionnaires, client due diligence requests
  • Maintain compliance calendar and project-manage departmental initiatives
  • Assist with completion of various regulatory filings, including Form ADV and Form PF






  • Must have experience from a compliance perspective with deals/transactions.
  • Strong writing skills required.



Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.



Date Posted 4/11/2018
Salary Open

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