Compliance Associate (New York, NY): Our client, a large asset manager with over $30 billion in assets, is currently seeking a driven Compliance Associate. Under the supervision of the Chief Compliance Officer and Director of Compliance, the position will focus on assisting in the development and implementation of the firm s compliance program.
Key Points:
- This presents a great opportunity for career advancement and a trajectory toward a more senior position and ability to take on more responsibilities with time.
- Providing an excellent opportunity to receive guidance and collaborate with experienced professionals in a dynamic organization.
- Excellent opportunity to be involved in diverse areas of compliance.
- Report into both the GC/CCO and Director/Senior Compliance Officer
Responsibilities:
- Monitoring the firm s Compliance Calendar to ensure timely compliance with regulatory obligations.
- Support in overseeing and enforcing the firm s Code of Ethics.
- Coordinate peer review processes
- Conduct employee trade reviews and oversee monitoring of external accounts and business interests
- Perform reviews of employee trades and supervise the monitoring of external accounts and business interests.
- Assist with preparing and submitting 13F/13G reports and other regulatory filings.
- Involvement in the firm's yearly risk assessment and compliance review.
- Cooperation on Vendor Due Diligence Processes.
- Assist with conducting reviews of new client relationships and implementing onboarding procedures.
- Support in Regulatory examinations management of other regulatory affairs as needed.
Qualifications:
- Bachelor s degree and 2-3 years of pertinent work experience; meticulous attention to detail and a focus on processes.
- Capability to oversee multiple projects to prioritize accordingly and effectively engage with individuals at different levels of the organization across various roles; outstanding oral and written communication abilities.
- Must have an interest in legal and compliance topics; readiness to collaborate with the General Counsel/Chief Compliance Officer to uphold the legal and compliance services offered.
Compensation: $125-140K base**; $140-185K all-in
Job Reference #1938