Our client, an established global alternative investments, private equity firm, is seeking to
onboard a Compliance Associate that will work closely with the NY-based team with additional
international exposure. The firm currently has nearly $30 billion AUM.
▪ Must fulfill the following functions in the firm’s global compliance program, including:
○ Oversee the firm’s Code of Ethics program using the StarCompliance regulatory
compliance software, as well as political contributions, personal trading, gifts and
entertainment, quarterly and annual employee certifications.
○ Facilitate new hire training
○ Review marketing materials for compliance with SEC and FINRA rules
○ Review new client relationships
○ Facilitate email review/Bloomberg management
○ Offer real-time compliance trade support
○ Manage the firm’s restricted list
○ Support the firm’s testing and monitoring program
○ Oversee the firm’s use of MyComplianceOffice, a compliance software that helps
identify conflicts of interest to address risk more easily and consistently
● 2+ years of in-house asset management compliance experience
● Background in Credit preferred
● Prior experience with relevant regulations—Advisers Act
● Strong knowledge of US regulatory compliance concepts and practices
● The keen ability to assess regulatory risks relating to business decisions
If you are interested in this role, please email CV to Jack Kelly at firstname.lastname@example.org.