Compliance Associate

2 months ago


Greenwich, United States Alternative Asset Manager Full time

Compliance Associate

Location: Greenwich, CT (In-Office, 5 days/week)


The Opportunity:

Seeking a Compliance Associate to join a $2B alternative asset manager. This hire will report to the General Counsel/Chief Compliance Officer.


Key Responsibilities:

  • Prepare and manage regulatory filings (ADV, Form D, 13F/G/H, Form PF).
  • Support compliance programs, including mock SEC exams and annual training.
  • Assist with legal tasks like NDA review, due diligence requests, and side letter tracking.
  • Update and manage the Compliance Manual and policies.
  • Handle compliance with the firm’s Code of Ethics, including personal trading and outside business activities.
  • Conduct research on regulatory practices and manage compliance processes.


Ideal Candidate:

  • 2-5 years of compliance experience within hedge funds, private equity, asset management, or compliance consulting.
  • Strong regulatory filing and compliance management skills.
  • Detail-oriented with strong organizational and communication skills.
  • Tech-savvy and familiar with compliance systems.

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