Compliance Associate

About the Role

Our client, a rapidly growing asset management firm based in New York, is seeking a Compliance Associate to join its compliance team. This is a great opportunity for an early-career professional to build a strong foundation across a broad compliance program, with hands-on training and room to grow.

Responsibilities

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• Conduct frontline review of marketing materials, including pitch decks and advertisements, for compliance with the SEC Marketing Rule
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• Support trade operations and assist with the preparation of regulatory filings
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• Administer the firm’s code of ethics, including personal trading, gifts and entertainment, and political contribution reporting
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• Assist with the maintenance and updating of compliance policies and procedures
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• Support vendor onboarding and related due diligence
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• Partner with internal teams to address day-to-day compliance questions
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Qualifications

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• Bachelor’s degree required
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• 1–2 years of compliance experience at an asset manager or compliance consulting firm
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• Exposure to the Investment Advisers Act and marketing review experience strongly preferred
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• Experience with ComplySci or similar compliance systems a plus
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• Highly organized and detail-oriented, with strong written and verbal communication skills
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• Eager to learn and grow within a collaborative team environment
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