Job Overview – Senior Compliance Associate (Asset Management)
Compensation: $200,000 – $250,000/year ($350,000 All-In)
Location: Westchester County, NY
Schedule: Monday to Friday (Hybrid)
Atlantic Group is hiring a Senior Compliance Associate (Asset Management) in Westchester County, NY for our client, supporting regulatory compliance, policy oversight, and operational compliance initiatives within a private equity and investment management environment. This hybrid role will partner closely with legal, compliance, and business teams to support the firm’s compliance program, monitor regulatory requirements, and assist with ongoing compliance administration across investment advisory activities. The ideal candidate is detail-oriented, collaborative, and experienced within private equity, hedge fund, asset management, or investment advisory compliance environments.
Responsibilities as the Senior Compliance Associate (Asset Management):
- Regulatory Compliance: Support the administration and oversight of the firm’s investment adviser compliance program and related regulatory initiatives.
- Policy & Procedure Management: Assist with maintaining and enhancing compliance policies, procedures, and internal controls.
- Monitoring & Surveillance: Conduct compliance monitoring activities including personal trading reviews, certifications, restricted list oversight, and employee compliance tracking.
- Compliance Administration: Support regulatory filings, compliance testing, training initiatives, and documentation management.
- Cross-Functional Partnership: Collaborate with legal, operations, investment, and finance teams on compliance-related matters and business initiatives.
- Vendor & System Oversight: Assist with administration of compliance technology platforms and external compliance service providers.
Qualifications for the Senior Compliance Associate (Asset Management):
- Education: Bachelor’s degree is required.
- Experience: 5–12 years of investment adviser compliance, asset management compliance, hedge fund, private equity, or compliance consulting experience is required.
- Industry Knowledge: Strong understanding of investment adviser compliance programs, regulatory requirements, and compliance monitoring practices is preferred.
- Technical Skills: Experience with compliance systems, monitoring tools, and Microsoft Office Suite are preferred.
- Skills & Attributes: Strong analytical skills, attention to detail, communication abilities, professionalism, and the ability to manage multiple priorities within a fast-paced environment are required.
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.