Job Overview – Compliance Associate (Hybrid):
Join our client, a distinguished financial services firm, as a Compliance Associate in Stamford, CT. This hybrid role focuses on collaborating with leadership to develop and maintain a strong compliance framework, ensuring alignment with global regulatory requirements, including those of the SEC, OCC, and FCA.
Compensation: $80,000 – $120,000/year + bonus
Location: Stamford, CT
Schedule: Monday to Friday (Hybrid)
Responsibilities as the Compliance Associate:
- Regulatory Compliance: Assist in maintaining firm-wide compliance with global regulatory requirements and jurisdictional standards.
- Policy Management: Draft, review, and test compliance policies and procedures to align with evolving regulatory frameworks.
- Monitoring & Oversight: Execute compliance monitoring programs, including data gathering, record-keeping, and reviewing employee trading activities and brokerage statements.
- Regulatory Filings: Prepare regulatory filings and respond to inquiries from federal, state, and local authorities.
- Committee Support: Attend Risk, Compliance, and Board sub-committee meetings, taking minutes and facilitating communication.
- Client Reporting: Assist with reporting for UCITS, '40 Act, and OCC-regulated clients, ensuring compliance and transparency.
Qualifications for the Compliance Associate:
- Education: Bachelor’s degree in Business Administration, Finance, Law, or a related field required.
- Experience: 3-4 years in a Compliance or Legal role within Financial Services required (hedge funds, private equity, asset management, or consulting).
- Knowledge: Familiarity with the Investment Advisers Act of 1940 and SEC marketing rules is strongly preferred.
- Skills: Strong organizational, problem-solving, and communication skills with attention to detail and deadline adherence.
- Technical Proficiency: Proficient in Microsoft Office Suite, including Excel, PowerPoint, and Word.
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.