Job Overview – Regulatory Compliance Associate (Asset Management):
Compensation: $100,000 – $120,000/year + bonus
Location: New York, NY
Schedule: Monday to Friday (Hybrid)
Our client is seeking a Regulatory Compliance Associate to join their team in New York, NY (Hybrid). This role is suited for professionals with compliance experience in investment management, private equity, hedge funds, or broker-dealer settings. Responsibilities include monitoring, marketing review, personal trading oversight, and policy enforcement. Experience with MCO, Charles River, Global Relay, or AdMaster is preferred.
Responsibilities as the Regulatory Compliance Associate:
- Compliance Monitoring: Conduct reviews and testing of internal policies to ensure adherence to regulatory standards.
- Marketing Review: Support the review of institutional and retail marketing materials across funds, SMAs, and private strategies.
- Personal Trading Oversight: Monitor employee trading via the MCO system, resolve exceptions, and maintain accurate records.
- Operational Support: Assist with compliance documentation, reporting, and day-to-day departmental tasks.
- Process Improvement: Contribute to compliance projects and help refine policies, workflows, and procedures.
Qualifications for the Regulatory Compliance Associate:
- Education: Bachelor’s degree in Finance, Business, Economics, or a related field is required.
- Experience: 1-3 years of compliance experience at an investment adviser, broker-dealer, or related firm, with preferred exposure to both institutional and retail products.
- Technical Skills: Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint), with experience in MCO, Global Relay, AdMaster/Red Oak, or Charles River preferred.
- Licensure: Series 7 and Series 24 licenses required within nine months of hire.
- Skills & Attributes: Detail-oriented and communicative, with strong multitasking and interpersonal skills in a fast-paced, collaborative environment.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.