Job Overview – Compliance Associate (Investment Management)
Compensation: $125,000 – $175,000/year + bonus
Location: New York, NY
Schedule: Monday to Friday (In-Office)
Atlantic Group is hiring a Compliance Associate (Investment Management) in New York, NY for our client, supporting regulatory compliance, legal operations, investor documentation, and firmwide compliance initiatives within an alternative investment environment. This role offers broad exposure to investment adviser compliance while working closely with senior legal and compliance leadership in a growing organization. The ideal candidate will have at least 2 years of investment management compliance, legal, paralegal, or compliance consulting experience and a strong interest in developing across both compliance and legal functions.
Responsibilities as the Compliance Associate:
- Compliance Administration: Support the day-to-day administration of the compliance program, including policies, procedures, testing, documentation, and regulatory calendars.
- Regulatory Support: Assist with filings, reporting requirements, recordkeeping, and other ongoing regulatory obligations.
- Compliance Reviews: Support client and investor documentation, compliance monitoring, and internal reviews while helping ensure adherence to applicable requirements.
- Marketing Compliance: Review marketing materials, investor communications, and related documents for compliance with applicable regulations and firm policies.
- Cross-Functional Support: Partner with senior leadership, legal, operations, and external service providers on compliance initiatives, process improvements, and special projects.
Qualifications for the Compliance Associate:
- Education: Bachelor’s degree in Business, Finance, Legal Studies, or a related field is required.
- Experience: Minimum of 2 years of compliance, legal, paralegal, or regulatory experience within financial services, investment management, law, or consulting is required.
- Industry Knowledge: Familiarity with investment management compliance, regulatory filings, recordkeeping, and related compliance requirements is preferred.
- Technical Skills: Proficiency with Microsoft Word, Excel, and PowerPoint is required. Experience with compliance systems or workflow tools is preferred.
- Skills & Attributes: Strong communication, organization, analytical, and problem-solving skills with excellent attention to detail and the ability to manage multiple priorities independently.
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.