Compliance Specialist Jobs

Our client, an asset manager based in New York, NY, is seeking a Senior Compliance Associate to join their growing Compliance team. The individual will be working on a variety of compliance matters relating to equity separate accounts, mutual funds, and private investment funds. Responsibilities include reviewing and drafting policies and procedures, putting together fund marketing materials, trade surveillance, and overseeing various SEC and foreign regulatory filings. Candidates must have at least five years of similar experience coming out of competing asset managers.

Requirements:

• Knowledge of the Investment Advisers Act of 1940
• Bachelor’s Degree
• 5+ full years of experience in a compliance role at a hedge fund, private equity fund, compliance consulting, or financial services firm