Job Overview – Compliance Associate (Investment Management)
Compensation: $90,000 – $110,000/year + bonus
Location: Greenwich, CT
Schedule: Monday to Friday (In-Office)
Atlantic Group is hiring a Compliance Associate (Investment Management) in Greenwich, CT for our client, supporting regulatory filings, compliance monitoring, and policy oversight within an asset management environment. In this in-office role, you will partner closely with the Chief Compliance Officer to manage testing programs, oversee Code of Ethics processes, and ensure adherence to regulatory requirements across investment activities.
Responsibilities as the Compliance Associate:
- Regulatory Filings: Prepare and coordinate regulatory filings across jurisdictions, ensuring accuracy and adherence to deadlines.
- Compliance Monitoring: Support compliance testing programs and assist with policy updates and workflow improvements.
- Code of Ethics Oversight: Monitor personal trading, maintain restricted lists, and track employee certifications.
- KYC & Vendor Coordination: Oversee KYC processes and collaborate with consultants and service providers.
- Audit & Training Support: Assist with regulatory audits and coordinate employee compliance training initiatives.
Qualifications for the Compliance Associate:
- Education: Bachelor’s degree in Finance, Business, Economics, or a related field required.
- Experience: 2-4 years of investment management or adviser compliance experience within a hedge fund, private equity firm, asset manager, or consulting firm.
- Industry Knowledge: Familiarity with private fund structures, regulatory frameworks, information barriers, and compliance monitoring processes preferred.
- Technical Skills: Proficiency in Microsoft Office Suite required, with experience using compliance tools or Bloomberg preferred.
- Skills & Attributes: Detail-oriented and proactive professional with strong organizational and communication skills, able to work both independently and collaboratively in a fast-paced 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.