Senior Compliance Associate

1 month ago

New York, United States Cardea Group Full time

VP/Senior Associate – Compliance (New York, NY): Our client, a leading $35B+ global investment manager with diverse product offerings, is hiring a driven Compliance Professional to join their dynamic, collaborative team. Working alongside an incredible team of driven and friendly cohorts, the new hire will support key compliance projects and initiatives, focusing on areas such as training, testing, and the design, implementation, and advisement of policies and procedures.

Key Points:

  • Well-established firm, actively growing and continuously expanding its investment strategies
  • Firm fosters a strong culture of compliance and community, with extensive touch points across departments and within the compliance team
  • Opportunity to work collaboratively within a team, gaining valuable exposure to every aspect of compliance and contributing significantly to the team

Responsibilities:

  • Support the internal compliance testing and surveillance program, as well as prepare regulatory reports and testing documentation
  • Acquire a comprehensive understanding of the SEC Marketing Rule and assist in reviewing marketing materials, social media, and investor relations materials
  • Identify, escalate, and address conflicts of interest across groups at both regional and global levels
  • Support the transactional and counterparty KYC processes, as well as regulatory reporting requirements (e.g., ADV, Form PF, HK SFC filings)
  • Monitor regulatory developments and establish procedures to ensure the platform complies with all relevant rules and regulations
  • Help draft policies and procedures while designing new compliance initiatives as the compliance landscape and business evolve
  • Prepare for and address regulatory inquiries and examinations, as well as conduct ongoing compliance training for both employees and new hires

Qualifications:

  • 6+ years of relevant experience in regulatory and compliance matters.
  • Bachelor’s degree required; MBA and/or JD is a plus.
  • Previous in-house experience with a private fund investment adviser is preferred.
  • Prior experience ideally includes drafting policies and procedures as well as conducting compliance testing.
  • Results-driven with a strong emphasis on meeting time-sensitive contractual obligations.
  • Proficient in problem-solving and capable of handling multiple tasks at once while performing effectively under pressure.
  • Self-driven and eager to collaborate in a team environment across various office

Compensation Expectations: up to $175-250K all-in (Senior Associate level); up to $225-300K all-in (VP level)

Job Reference #1963

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