Compliance Associate

A full-service investment bank and asset management firm focusing on technology and healthcare growth, is currently looking to hire a Compliance Associate with 1 - 5 years of compliance experience within the asset management, mutual fund or hedge fund industry. The Compliance Associate will assist in all aspects of compliance in adherence to the Investment Company Act of 1940 and the Investment Advisers Act of 1940 while supporting hedge funds and open end funds.

Candidate should also be open to learning broker-dealer compliance as it relates to investment banking, equity research and institutional sales & trading. This is a great opportunity to learn all facets of broker-dealer and asset management compliance.

Responsibilities include, but not limited to:

• Respond to compliance due diligence questionnaires or complete compliance certifications;
• Assist with preparation and ensuring the timely and accurate filing of all regulatory reports;
• Assist in the review of marketing materials and RFPs;
• Perform daily surveillance of e-communications for the adviser’s personnel;
• Interact with the Funds administrator
• Help evaluate the adequacy and effectiveness of the investment platform’s policies, procedures and internal controls;
• Participate in the planning and execution of the annual review of policies and procedures;
• Ability to read notices/legal alerts and determine how it affects the business;
• Ability to write policies and procedures;
• Investigate compliance issues as they arise. Escalate issues as appropriate to senior managers
• Perform general compliance and operational risk related functions as instructed
• Participate in compliance related projects as needed.

Requirements

• 1 - 5 years of compliance experience within the asset management, hedge fund or mutual fund industry.
• Experience at a compliance consulting firm would be considered.
• Good interpersonal skills and effective writing, analytical, and communication skills. Ability to multi-task with good time management skills.
• Ability to work in a fast-paced environment.
• Knowledge of the Investment Company Act of 1940 is required. General knowledge of the Investment Adviser’s Act of 1940 is a plus.

The good-faith expected salary range for the above position is $100,000- $145,000 depending on factors including but not limited to the candidate’s experience, skills, license registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance, flexible spending, commuter;

and paid time-off plan.

• Seniority level Associate

• Employment type
  
  Full-time

• Job function
  
  Finance, Legal, and Administrative
• Industries Investment Banking and Investment Management

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