Compliance Associate

  • Location: New York, NY, New York
  • Type: Perm (Contingency)
  • Job #30823

Compensation: $85,000-$110,000 + bonus

Location: New York, NY

A credit-oriented investment management firm overseeing approximately $32 billion in total assets, is seeking a Compliance Professional to join its team.

Highlights About the Company & Position:

  • Assist with compliance monitoring program, including: testing of investment guidelines; reviewing private side access reports; reviewing/documenting details of any crossing transactions; identifying and documenting any trade errors.
  • Assist with oversight of Code of Ethics reporting via compliance monitoring software.
  • Assist with NDA review process.
  • Assist with certain regulatory filings (e.g., Form 13H, BEA-185, TIC Form SLT, etc.).
  • Prepare materials for Committee meetings (e.g., Valuation, Conflicts of Interest). Assist with forensic testing for Compliance Annual Review.

Requirements/Qualifications:

  • BS/BA degree is required.
  • 2-4 years of work experience.
  • Buy-side trading compliance examination experience a plus.
  • 40-Act experience a plus.
  • Great written and oral communication skills.
  • Accuracy, attention to detail with ability to thrive in deadline-driven environment.
  • Self-starter, with the ability to work independently.
  • Proficiency in Excel, Word, and PowerPoint.
  • Highest ethical standards, and ability to maintain discretion and confidentiality.

Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

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Job ID: 30823