Job Overview – Compliance Associate:
Our client is seeking a Compliance Associate to work at their office in Boston, MA. The Compliance Associate will work directly with Principals, the COO/CCO, and the business operations team to assist in all facets of firm compliance. This role requires experience in compliance within the investment management industry and is located in Boston, MA.
Location: Boston, MA
Compensation: $100,000-$120,000/year + bonus
Schedule: 9:00 AM to 5:00 PM, Monday to Friday
Responsibilities as the Compliance Associate:
- Assist COO/CCO with RIA and Fund compliance requirements and activities.
- Monitor and support Code of Conduct and personal trading requirements for firm and employees.
- Review firm communications with investors and prospects, ensuring compliance with SEC Marketing rules.
- Assist with regulatory filings for Funds and RIA entities.
- Manage documentation for relationships with counterparties, broker dealers, and prime brokers.
- Oversee all firm proxy voting activities.
- Work with the Investment Team in monitoring and shadowing research meetings.
Qualifications for the Compliance Associate:
- 3-5 years’ experience at a hedge fund or asset management firm.
- BA/BS degree or equivalent.
- Experience in investment management industry compliance.
- Knowledge of Hedge Funds or Private Investment Funds.
- Strong communication skills.
- Proficiency in MS Office Suite and Compliance Management Systems preferred.
- Detail-oriented, self-starter with strong organizational skills.
- Ability to handle multiple tasks with varying deadlines.
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. #CB