Compliance Associate

About the RoleOur 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.ResponsibilitiesConduct frontline review of marketing materials, including pitch decks and advertisements, for compliance with the SEC Marketing RuleSupport trade operations and assist with the preparation of regulatory filingsAdminister the firm’s code of ethics, including personal trading, gifts and entertainment, and political contribution reportingAssist with the maintenance and updating of compliance policies and proceduresSupport vendor onboarding and related due diligencePartner with internal teams to address day-to-day compliance questionsQualificationsBachelor’s degree required1–2 years of compliance experience at an asset manager or compliance consulting firmExposure to the Investment Advisers Act and marketing review experience strongly preferredExperience with ComplySci or similar compliance systems a plusHighly organized and detail-oriented, with strong written and verbal communication skillsEager to learn and grow within a collaborative team environment