Compliance Associate

A leading global investment firm is seeking a Compliance Associate to join its New York-based Compliance team. This is a broad, generalist compliance role supporting multiple areas of the business and working closely with investment professionals and other internal teams.The ideal candidate will have approximately 3–6 years of compliance experience within financial services. The firm is open to candidates coming from a variety of financial institutions, including banks, hedge funds, private equity firms, private credit firms, and traditional asset managers.This is an excellent opportunity for someone who is looking for broad exposure within a sophisticated investment environment and who enjoys working in a fast-paced, business-facing role.ResponsibilitiesMonitor matters involving material non-public information (MNPI) and restricted list implicationsDevelop familiarity with a broad range of investment strategies, funds, and related guidelinesWork directly with investment professionals on compliance-related mattersSupport AML/KYC processes and requirementsConduct routine, targeted, and ad hoc compliance testing and surveillanceAssist with general regulatory and investment management compliance mattersSupport the broader Compliance team on various projects and initiativesHandle additional compliance responsibilities as neededCandidate ProfileBachelor’s degree requiredApproximately 3–6 years of compliance experience within the financial services industryExperience at a bank, hedge fund, private equity/private credit firm, traditional asset manager, or other relevant financial institutionStrong written and verbal communication skills