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.