Associate Director

Arrow Search Partners; New York (NY); On-site; USD 150,000 - 200,000; Full time

Job summary

Arrow Search Partners in New York is seeking a compliance professional to coordinate across the firm on regulatory matters, including SEC and CFTC registrations.

The ideal candidate will have a Bachelor’s degree, a J.D., and 3-7 years of compliance experience. Responsibilities include reviewing marketing materials and preparing regulatory filings. The position offers a salary range of $150,000 to $200,000.

Qualifications

• Bachelor’s degree required.
• 3-7 years of experience in a compliance role.
• J.D. required.
• Understanding of federal securities laws strongly preferred.
• Experience with private fund marketing compliance a plus.

Responsibilities

• Coordinate fund compliance and regulatory matters.
• Review marketing materials and investor communications.
• Prepare regulatory reports and filings.
• Assist with compliance program monitoring.
• Support legal and compliance initiatives.

Skills

Regulatory compliance

Legal interpretation

Risk assessment

Attention to detail

Education

Bachelor’s degree

J.D.

Tools

Compliance software

Job description

About the Company

Our client is an asset management firm focusing on credit strategies with over $40 billion in AUM.

Responsibilities

• Coordinate across the firm on fund and managed account compliance and regulatory matters including SEC and CFTC registrations, ERISA, and federal, state and international securities laws
• Review marketing materials, due diligence responses, investor communications and other fundraising and reporting related materials across various investment strategies
• Coordinate and prepare U.S. and foreign regulatory reports and filings
• Assist with forensic testing for annual compliance review
• Assist with the compliance monitoring program including testing of investment guidelines and employee compliance requirements
• Support selected firm-wide legal and compliance initiatives

Requirements

• Bachelor’s degree required
• 3-7 years of experience in a compliance role
• J.D. required
• Understanding of federal securities law and regulations strongly preferred
• Experience with private fund marketing or distribution compliance a plus
• Experience using compliance software/programs that support monitoring, reporting, and risk assessment activities
• Ability to interpret legal and business terms and grasp concepts quickly

Salary Range

$150,000-$200,000