Testing & Controls Compliance Associate

  • Location: Short Hills, NJ, New Jersey
  • Type: Perm (Contingency)
  • Job #31355
  • Salary: $85,000.00

Compensation: $85,000-$135,000 + bonus

Location: Short Hills, NJ

Publicly traded alternative asset manager is seeking a Testing & Controls Compliance Associate. The main responsibility of the Testing & Controls Compliance Associate is to assist with the testing and review of compliance policies and procedures.

Highlights About the Company & Position:

  • Assist with the testing and review of the company's compliance policies and procedures.
  • Assist with the development and maintenance of policies and procedures to meet regulatory requirements.
  • Provide support for internal compliance reviews and regulatory examinations.
  • Assist in preparing and conducting internal compliance training/education sessions, including facilitating cross-training within the team.
  • Assist in preparing periodic compliance reports for senior management.
  • Assist in providing guidance to the company's businesses regarding regulatory requirements and other compliance-related questions.
  • Stay abreast of regulatory and legal developments and best practices governing investment advisers, business development companies (BDC), and private funds.
  • Develop in-depth knowledge of the investment products and contribute compliance recommendations for future products.
  • General compliance tasks as needed, including working with and supporting compliance team members that specialize in other functional areas.


  • Must have at least 2-3 years of work experience in investment management, financial services, or industry-related compliance experience.
  • Understanding of securities laws, rules, and regulations applicable to registered investment advisers and private fund offerings, including Investment Advisers Act of 1940 and Investment Company Act of 1940 (preferably BDC regulations).
  • Detail oriented with the ability to assess and prioritize projects.
  • Ability to develop and foster strong interpersonal relationships and maintain effective cross-functional business relationships throughout the firm.
  • Ability to work effectively on a team and with outside parties at all organizational levels.
  • Ability to operate in a fast-paced environment.

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: 31355