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Compliance Associate

4 months ago

New York, United States Cardea Group Full time

Compliance Associate (New York, NY): Our client, a private investment advisory firm, is in search of a highly motivated Compliance Associate to join their expanding team. This recently established position is anticipated to collaborate closely with the Compliance Consultant, Finance, and Network teams.

Key Points:

  • Impact position as the first hire under the GC/CCO whose background is not in regulatory compliance
  • VERY FUN TEAM they host monthly happy hours and are close knit, high performers
  • Long runway for this person to take on more responsibilities and elevate in title
  • Hiring manager is FANTASTIC down to earth, smart, and he will give this person a ton of autonomy

Responsibilities:

  • Responsible for the Planning and implementation of the new Private Funds Adviser Rule
  • Preparation of regulatory filings (ADV, PF, etc.) and Cybersecurity compliance (Info Sec Policy, Incident Response Plan and testing, BCP plan and testing)
  • Perform Annual Compliance Review: fulfill document requests; review and respond to findings; Annual review and updates to Policies & Procedures: Compliance Manual, Code of Ethics, Electronic Comms, Privacy Policy, Alternative Date, etc
  • Perform Marketing Review: Continuous review and approval of each piece; disclaimers/disclosures; performance marketing compliance when applicable
  • Conduct Email Review: Maintain Global Relay; conduct sample email reviews
  • Complete Subscription Agreements and fulfilling KYC requests

Qualifications:

  • Bachelors degree and 3-5 years of relevant compliance experience
  • High attention to detail, strong organizational skills, and the ability to excel in a fast-paced work environment
  • Ability to work and effectively communicate with a team

Compensation: $130-175K base; $200-225K all-in (dependent on experience)

Job Reference #1940

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