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Compliance Associate

3 months ago

Stamford, United States Partnership Employment Full time

Asset Manager is looking to hire a Compliance Associate


  • Lead and manage all compliance-related task deadlines, ensuring timely completion.
  • Oversee the process for employee personal trade reviews, certifications, and gift/entertainment requests.
  • Assist in monitoring firm-wide trade compliance, ensuring adherence to regulations.
  • Collaborate with investor relations to accurately track and manage subscriptions and redemptions.
  • Evaluate and review marketing materials and review and process investor engagement requests, ensuring compliance with regulatory requirements.
  • Conduct thorough research on new and emerging compliance rules and assist in updating and implementing relevant policies.
  • Collaborate with legal and other departments to manage and complete regulatory filings.
  • Liaise with compliance consultants and other external service providers.
  • Assist with the NFA Self-Examination and SEC Annual Review processes.