Compliance Associate

2 weeks ago


Stamford, United States Partnership Employment Full time

Asset Manager is looking to hire a Compliance Associate to join their growing team.


  • Candidate will be assisting with the overall compliance program under the supervision of the CCO.
  • Conduct Compliance Monitoring and Testing.
  • Experience with Form ADV & Form PF
  • Review and update Compliance Policies and Procedures.
  • Provide Compliance support to the CCO and staff.
  • Provide training on best practices.
  • Handle day -to- day activities as needed.
  • Candidate must have experience with Investment Advisers Act of 1940s.

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