Job Overview – Compliance Associate (Hybrid)
Compensation: $125,000 – $140,000/year + bonus
Location: New York, NY
Schedule: Monday to Friday (Hybrid)
Atlantic Group is hiring a Compliance Associate (Hybrid) in New York, NY for our client, supporting trading compliance, Code of Ethics administration, and regulatory reporting within an investment management environment. In this hybrid role, you will partner with Legal and Compliance leadership to oversee personal trading monitoring, compliance testing, and regulatory filings while leveraging MyComplianceOffice, Global Relay, and internal reporting tools to ensure adherence to SEC and global regulatory requirements.
Responsibilities as the Compliance Associate:
- Code of Ethics & Trading Oversight: Administer Code of Ethics reporting and personal trading monitoring through MyComplianceOffice.
- Compliance Monitoring & Testing: Support testing of investment guidelines and monitoring workflows while documenting exceptions.
- Regulatory Filings: Assist with preparation and submission of required regulatory filings.
- AML/KYC & Surveillance: Support AML and KYC processes, sanctions screening, and communications reviews.
- Governance & Program Support: Prepare materials for compliance committees and assist with onboarding, documentation, and annual review activities.
Qualifications for the Compliance Associate:
- Education: Bachelor’s degree in Finance, Accounting, Business, Legal Studies, or related field required.
- Experience: 2-4 years of investment adviser compliance experience within an asset manager, hedge fund, or consulting firm, with trading compliance exposure preferred.
- Industry Knowledge: Strong understanding of Code of Ethics administration, regulatory filings, personal trading monitoring, and compliance testing frameworks.
- Technical Skills: Experience with MyComplianceOffice and Global Relay required, with strong proficiency in Microsoft Office, including advanced Excel.
- Skills & Attributes: Detail-oriented professional with strong organizational and communication skills, the ability to manage multiple deadlines, and a high level of integrity and discretion.
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.