Compliance Reporting Associate

Greenwich, CT




  • Manage and respond to compliance-related inquiries from clients and internal departments across the firm;
  • Facilitate the response to compliance-related client deliverables, including ongoing and ad hoc reporting materials;
  • Coordinate annual contract renewal questionnaires required by Section 15(c) of the Investment Company Act of 1940;
  • Review investor agreements to identify and coordinate scheduled compliance reporting,
  • Maintain reporting calendar and task manager for various reporting deliverables,
  • Provide quality assurance reviews of reporting materials for clients.







  • 2+ yrs asset manager, broker-dealer, or accounting firm
  • Project management and risk assessment skills
  • Knowledge of Investment Advisers Act of 1940, Investment Company Act of 1940, and ERISA a plus




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 6/4/2018
Salary $75,000- $105,000 + Bonus

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