Compliance Associate

New York, NY



  • Maintenance and oversight regarding the firm’s compliance and compliance manual.
  • Assist CCO with regulatory filings (e.g., Sections 13 and 16 filings, Form ADV, Form PF, Blue Sky, CFTC filings) and work with CCO in relations to regulatory audits and sweeps
  • Assist the firm’s CCO ensuring the firm’s compliance regarding information barriers, restricted lists, Code of Ethics including record keeping regarding the personal trading for all employees, email retention, trade compliance, FATCA/CRS, cybersecurity and anti-money laundering.
  • Coordinate with CCO while ensuring all existing and new employees are up to date regarding the firm’s compliance policies and procedures and oversee mandatory periodic compliance training for all employees
  • Assist with the maintenance of compliance calendar
  • Update and developing CRM and maintaining corporate documents, records, meetings and calendars.
  • Respond to client RFP’s, investor queries and due diligence processes and requirements.
  • Update and maintain monthly Fact Sheets, Pitch Books, and DDQ, website, performance data and social media




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 11/11/2019
Salary $100,000 - $120,000 + bonus

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