Compliance Associate Jobs

Compensation: $100,000 - $130,000 + bonus

Location: New York City

Job Overview:

The Compliance Analyst will play a crucial role in managing compliance activities and supporting various initiatives within the financial services industry. This position offers an excellent opportunity to contribute to a dynamic team in a successful investment management firm.

Responsibilities:

As a key member of the Compliance Team, you will be:

• Working with Compliance Team and Chief Information Officer on joint Compliance/IT initiatives, such as GDPR compliance and cybersecurity
• Coordinating the Firm's response to regulatory and mock examinations, including document production and interviews
• Supporting the Compliance Team's oversight of international offices and participating in training sessions on compliance policies and procedures
• Coordinating the Firm's vendor due diligence program, including facilitating diligence requests and evaluating response materials
• Drafting and maintaining compliance policies and procedures, including the Code of Ethics and Compliance Manual
• Collaborating with 3rd party compliance consultants and outside counsel on various compliance-related matters
• Overseeing the Firm's Code of Ethics reporting system, reviewing employee filings related to securities trading, preclearance, and gifts
• Managing the Firm's Global Compliance Program in collaboration with senior Compliance Team members
• Researching regulatory issues and developments to integrate into the Firm's compliance program
• Assisting in the preparation and filing of SEC reporting, including Forms ADV, PF, and Schedules 13D, F, G, and H

Qualifications:

To be considered for the Compliance Associate role you should have:

• Strong interest in real estate and/or investment management
• Excellent written and verbal communication skills
• Strong academic credentials from an undergraduate or JD education level.
• 2-5 years of prior experience in private equity compliance, legal, or risk-related field within the financial services industry.
• Familiarity with regulatory requirements and industry best practices

Benefits:

• Competitive salary commensurate with experience
• Flexible work arrangements (where applicable)
• Collaborative and inclusive work environment
• Work-life balance initiatives
• Opportunity for career growth and advancement
• Comprehensive benefits package available

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Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.