Job Overview – Compliance Associate (Hybrid):
Take on a dynamic role with our client as a Compliance Associate in New York, NY. In this hybrid position, you will play a pivotal part in implementing and maintaining the firm’s compliance program, ensuring adherence to regulatory requirements under the Investment Advisers Act of 1940 and international compliance standards. Your proactive approach and strategic mindset will support the organization’s commitment to compliance excellence.
Compensation: $120,000 – $140,000/year + bonus
Location: New York, NY
Schedule: Monday to Friday (Hybrid)
Responsibilities as the Compliance Associate:
- Compliance Monitoring: Oversee employee personal trade reviews, certifications, and gift/entertainment requests.
- Regulatory Tracking: Manage compliance areas such as proxy voting, NDA trackers, and vendor due diligence processes.
- SEC & Regulatory Filings: Assist with preparation and submission of filings, including foreign ownership disclosures.
- Training & Onboarding: Facilitate compliance training for employees and ensure seamless onboarding for new hires.
- Expert Network Oversight: Approve, log, and monitor expert network calls to maintain compliance standards.
- Issue Resolution: Research, resolve, and escalate compliance issues with actionable recommendations.
Qualifications for the Compliance Associate:
- Education: Bachelor’s degree in Business, Finance, Law, or a related field (advanced degrees or certifications (e.g., JD, MBA, CFA) are preferred).
- Experience: 2-5 years of Generalist Compliance experience in hedge funds, private equity, venture capital, asset management, or compliance consulting.
- Skills and Attributes: Strong analytical and communication skills, collaborative, detail-oriented, proactive, and able to manage priorities with integrity and independence.
- Technical Knowledge: Familiarity with SEC regulations, the Investment Advisers Act, and international compliance standards (Europe and Asia experience preferred).
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.