Job Overview – Compliance Associate (Investment Management):
Compensation: $90,000 – $110,000/year + bonus
Location: Greenwich, CT
Schedule: Monday to Friday (Hybrid)
Atlantic Group is hiring a Compliance Associate (Investment Management) in Greenwich, CT for our client. This hybrid role supports firm-wide compliance across multiple investment vehicles, ensuring adherence to the Advisers Act and Investment Company Act. You will manage daily operations, filings, audits, and training, making it ideal for early-career professionals seeking growth in investment management compliance.
Responsibilities as the Compliance Associate (Investment Management):
- Regulatory Oversight: Manage day-to-day compliance activities under the Investment Advisers Act and Investment Company Act.
- Policy Administration: Maintain and update firmwide compliance policies and procedures to align with evolving regulations.
- Regulatory Filings: Prepare and submit filings such as Form ADV, Form 13F, Form D, and RIC reports accurately and on time.
- Audits & Reviews: Support the COO during regulatory inspections, audits, and risk assessments.
- Employee & Trading Compliance: Oversee personal trading requests, attestations, and trading reviews using compliance software.
Qualifications for the Compliance Associate (Investment Management):
- Education: Bachelor’s degree in Finance, Law, Business, or a related field required.
- Experience: 1-3 years of compliance experience in investment advisory, asset management, hedge fund, private equity, or consulting environments.
- Technical Skills: Proficient in MyComplianceOffice and Microsoft Office Suite, with working knowledge of regulatory filing databases and compliance reporting systems.
- Industry Knowledge: Solid understanding of the Investment Advisers Act, Investment Company Act, and key regulations governing investment firms.
- Skills & Attributes: Detail-oriented and organized professional with strong communication, problem-solving, and multitasking skills.
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.