Job Description

Compliance Associate

We are seeking a bright, proactive and highly motivated individual to join the Company's New York-based SEC/Corporate Compliance team as a Compliance Associate. The Compliance Associate will work collaboratively within the SEC and Corporate compliance team to perform a variety of compliance and legal-adjacent duties for the Company's SEC registered investment advisers, affiliated family office accounts (public and private market investing) and corporate compliance program. The position requires considerable initiative, judgment and discretion in completing assignments and handling extremely confidential information, including proprietary business data and confidential personal data.

Responsibilities

What you will do:

• Work with departments throughout the Firm to gather information and prepare responses for counterparty AML/KYC requests.
• Provide administrative and drafting support for litigation and legal matters.
• Provide assistance in drafting, analyzing, reviewing, and preparing legal agreements, including vendor agreements.
• Support, as appropriate, various Compliance workflows and initiatives including:
• Testing, annual reviews, and other internal reviews to assess controls and readiness
• Compliance calendar preparation and tracking
• Employee compliance training
• Policy and procedure reviews and updates
• Regulatory filings
• Vendor due diligence
• Marketing material review
• Compliance program administration, including employee onboarding, Code of Ethics monitoring, pre-clearances and reporting
• Partner across departments including investment, legal, investor relations, operations and human resources teams to implement and uphold firm standards and processes.
• Contribute to continuous process improvements and best-practice enhancements as the Company scales.

Qualifications

We want you on our team because you

• Have a Bachelor's degree or higher from an accredited college or university.
• Have 3-5 years as an in-house compliance generalist, paralegal or lawyer in a related area of the law.
• Are familiar with private fund structures and governance, compliance frameworks, policies, or regulatory filings.
• Are highly organized and efficient with great attention to detail.
• Are able to manage multiple priorities and deadlines in a fast-paced environment.
• Are intellectually curious, resourceful, self-motivated and a problem-solver.
• Are collaborative and team-oriented with confidence to interact with senior and junior colleagues throughout the organization using various forms of communication, including in-person.

Job Tags

Similar Jobs