Compliance Associate
2 weeks ago
Global Private Markets firm is seeking a Compliance Associate.
In this role you will be responsible for administering the Compliance program for funds registered under the Investment Company Act of 1940 (“40 Act”).
Your role will be:
- Prepare board materials for deal approval pursuant to the funds’ co-investment order
- Prepare quarterly board reports and other materials for review by the funds’ board
- Assist with review of deals for compliance with 40 Act restrictions
- Track deal flow for the funds
- Assist with the 40 Act compliance monitoring and testing program
- Participate in reviewing and analyzing federal and state laws and regulations, and relevant regulatory guidelines
- Coordinate with the funds’ CCO and the business teams to review and implement operational or policy changes
Qualifications:
- Bachelor’s Degree or relevant experience
- 4+ years of compliance or regulatory experience with a financial institution with specific exposure to the federal securities laws with extensive exposure to the Investment Company Act of 1940 preferred
- Knowledge of investment products, financial markets, and investment concepts
- Experience with an asset management firm with exposure to alternative investments and private markets
- Experience with regulatory examiners for financial institutions
- Strong organizational and project management skills
- Excellent verbal and written communication skills
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Compliance Associate
5 days ago
New York, United States Optima Partners Holdings LLC Full timeJob DescriptionJob DescriptionOptima Partners is looking for a Compliance Associate / Senior Compliance Associate in it's New York Office to assist with compliance reviews and advisory assessments for asset managers, hedge funds, private equity and real-estate clients. Considered Compliance Associate candidates will have:Lead or joint lead roles for...
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Compliance Associate
2 weeks ago
New York, United States Trevose Partners Limited Full timeA boutique Hedge Fund is looking bring on a compliance associate in their Connecticut office. A Global Macro Hedge Fund is looking to bring on a Compliance Associate in their Connecticut office. Responsibilities: Assist with MFA Self Exam and SEC Annual Review Trade compliance monitoring Monitoring employee certifications and trade reviews Implementing...
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Compliance Associate
2 months ago
New York, United States Cardea Group Full timeCompliance 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...
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Compliance Associate
2 weeks ago
New York, United States Cardea Group Full timeCompliance 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...
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Compliance Associate
6 days ago
New York, United States Cardea Group Full timeCompliance 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...
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Compliance Associate
3 days ago
New York, United States Cardea Group Full timeCompliance 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...
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Compliance Associate
1 month ago
New York, United States Cardea Group Full timeCompliance 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...
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Compliance Associate
4 weeks ago
New York, United States Pistilli Management Full timeReal Estate property management company looking to hire a compliance associate to assist in maintaining all buildings in compliance with all Federal and local laws, rules, and regulations and to assist with the clearing and dismissal of DOB, ECB, FDNY, and Department of Health building violations.
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Compliance Associate
2 weeks ago
New York, United States Pistilli Management Full timeReal Estate property management company looking to hire a compliance associate to assist in maintaining all buildings in compliance with all Federal and local laws, rules, and regulations and to assist with the clearing and dismissal of DOB, ECB, FDNY, and Department of Health building violations.
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Compliance Associate
4 weeks ago
New York, United States Pistilli Management Full timeReal Estate property management company looking to hire a compliance associate to assist in maintaining all buildings in compliance with all Federal and local laws, rules, and regulations and to assist with the clearing and dismissal of DOB, ECB, FDNY, and Department of Health building violations.
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Compliance Associate
2 weeks ago
New York, United States Pistilli Management Full timeReal Estate property management company looking to hire a compliance associate to assist in maintaining all buildings in compliance with all Federal and local laws, rules, and regulations and to assist with the clearing and dismissal of DOB, ECB, FDNY, and Department of Health building violations.
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Compliance Associate
1 week ago
New York, United States Pistilli Management Full timeReal Estate property management company looking to hire a compliance associate to assist in maintaining all buildings in compliance with all Federal and local laws, rules, and regulations and to assist with the clearing and dismissal of DOB, ECB, FDNY, and Department of Health building violations. by Jobble
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Compliance Associate
1 month ago
New York, United States Stone Alliance Group Full timeJoin our client's legal team as a **Compliance Associate** and be part of an incredible journey! Our client, a dynamic New York not-for-profit organization, is dedicated to transforming the lives of children and families struggling with mental health and learning disorders. They're growing and establishing international initiatives and engaging in innovative...
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Compliance Associate
2 weeks ago
New York, United States Stone Alliance Group Full timeJoin our client's legal team as a **Compliance Associate** and be part of an incredible journey! Our client, a dynamic New York not-for-profit organization, is dedicated to transforming the lives of children and families struggling with mental health and learning disorders. They're growing and establishing international initiatives and engaging in innovative...
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Compliance Coordinator/Associate
3 weeks ago
New York, United States Glocap Full timeOur client, a leading private equity firm in Midtown Manhattan is looking for a Compliance Coordinator/Associate to join their team. This role will assist the CCO to ensure the organization is in compliance with all regulations, laws, and policies. The Compliance Coordinator/Associate's responsibilities include delivering employee training, evaluating...
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Compliance Coordinator/Associate
2 weeks ago
New York, United States Glocap Full timeOur client, a leading private equity firm in Midtown Manhattan is looking for a Compliance Coordinator/Associate to join their team. This role will assist the CCO to ensure the organization is in compliance with all regulations, laws, and policies. The Compliance Coordinator/Associate's responsibilities include delivering employee training, evaluating...
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Compliance Coordinator/Associate
2 weeks ago
New York, United States Glocap Full timeOur client, a leading private equity firm in Midtown Manhattan is looking for a Compliance Coordinator/Associate to join their team. This role will assist the CCO to ensure the organization is in compliance with all regulations, laws, and policies. The Compliance Coordinator/Associate's responsibilities include delivering employee training, evaluating...
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Compliance Coordinator/Associate
3 weeks ago
New York, United States Glocap Full timeOur client, a leading private equity firm in Midtown Manhattan is looking for a Compliance Coordinator/Associate to join their team. This role will assist the CCO to ensure the organization is in compliance with all regulations, laws, and policies. The Compliance Coordinator/Associate's responsibilities include delivering employee training, evaluating...
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Compliance Coordinator/Associate
3 weeks ago
New York, United States Glocap Full timeOur client, a leading private equity firm in Midtown Manhattan is looking for a Compliance Coordinator/Associate to join their team. This role will assist the CCO to ensure the organization is in compliance with all regulations, laws, and policies. The Compliance Coordinator/Associate's responsibilities include delivering employee training, evaluating...
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Compliance Associate
2 weeks ago
New York, United States Stone Alliance Group Full timeJoin our client's legal team as a **Compliance Associate** and be part of an incredible journey! Our client, a dynamic New York not-for-profit organization, is dedicated to transforming the lives of children and families struggling with mental health and learning disorders. They're growing and establishing international initiatives and engaging in innovative...
