Compliance Associate/Analyst (title will depend on level of experience), New York, NY: Our client, a growing asset manager, is seeking a Compliance Associate/Analyst to support all aspects of the firm s compliance function. Reporting to the Chief Compliance Officer, the Compliance Associate will join a dedicated team and play a key role in managing the firm s compliance program. The ideal candidate enjoys working in a fast-paced environment and collaborating with colleagues and is adept at managing multiple tasks simultaneously to completion.
Highlights:
- Position is open due to their continued growth and complexity
- This role reports directly to the CCO and will offer exposure to the entire program
- Firm offers a young, fun, and entrepreneurial culture
- WFH policy: 4 days in the office and 1 day from home
Responsibilities:
- Administering all aspects of employee Code of Ethics compliance program
- Assisting with the preparation of regulatory filings
- Conducting periodic compliance testing and review processes, including e-mail surveillance, monitoring and periodic certifications and testing processes
- Designing and building compliance rules and automation projects
- Monitoring the Firm s internal controls for effectiveness; assisting with annual reviews and risk assessments
- Maintaining books and records and ensuring completion of files
- Interacting with other stakeholders at the firm, including the operations and investment teams
- Identifying and resolving inefficiencies in current compliance workflow processes
- Working on various ad-hoc reports and projects