Compensation: $115,000-$130,000 + bonus
Location: New York, NY
The Atlantic Group is representing a Compliance Associate opportunity with a multi-billion investment firm. This position is available due to rapid growth and is full-time. The Compliance Associate will report directly to the Chief Commercial Officer, CCO.
Highlights About the Company & Position:
- Maintain the compliance calendar.
- Prepare various regulatory filings.
- Manage pre and post trade surveillance and forensic testing.
- Monitor the firm’s positions and restricted list.
- Assist with compliance monitoring program, testing and related documentation.
- Assist with vendor due diligence.
- Tracking and auditing expert network calls.
- Manage compliance-related personnel requests.
- Monitor electronic communications policy.
- Assist with various books and records requirements.
Requirements/Qualifications:
- 3 + years of Compliance experience required.
- Bachelor’s degree.
- Experience working in a private fund, registered investment advisor or investment manager preferred.
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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.