Compliance Associate

Trustpoint.One; Greenwich (CT); On-site; USD 55,000 - 83,000; Part time

Job summary

Trustpoint.One is seeking a detail-oriented Compliance Associate to support the firm’s compliance program and ensure adherence to regulatory requirements, internal policies, and industry best practices. This part-time role collaborates with Legal, Compliance, HR, IT, Cyber, and business teams across a broad spectrum of activities.

The ideal candidate will manage multiple priorities, handle confidential information, exercise sound judgment, and work independently in a fast-paced investment

Qualifications

• Bachelor's degree required; relevant compliance, legal, business, finance, or regulatory experience preferred.
• 3+ years of compliance, legal, regulatory, or related experience
• Working knowledge of investment management compliance concepts, including KYC/AML, MNPI, employee trading, gifts and entertainment, political contributions, and outside business activities.
• Experience with compliance testing, monitoring, certifications, and regulatory filings.
• Strong written and verbal communication skills, with the ability to communicate compliance requirements clearly to employees and business partners.
• Excellent organizational skills and attention to detail, with the ability to manage multiple deadlines and priorities.
• Strong judgment and discretion when handling confidential and sensitive information.
• Ability to collaborate effectively with Legal, HR, IT, Cybersecurity, and other internal stakeholders.
• Proficiency with Microsoft Office and compliance monitoring or workflow systems.

Responsibilities

• Administer and enforce requirements under the firm's Code of Ethics, Compliance Manual, and Employee Handbook.
• Review marketing materials, operational due diligence requests, and investor KYC/AML documentation for compliance with firm policies and applicable requirements.
• Partner with IT and Cybersecurity teams to review, approve, implement, and oversee IT and cybersecurity policies and related compliance programs.
• Manage the NDA process, including negotiating terms, coordinating with bankers and counterparties, advising employees on the handling of confidential information, and maintaining the NDA database.
• Support HR and IT with employee onboarding and offboarding processes from a compliance perspective.
• Administer initial compliance training for new employees and educate personnel regarding key compliance issues, including MNPI, political contributions, outside business activities, gifts and entertainment, and employee trading.
• Conduct quarterly compliance testing related to electronic communications, employee trades, gifts and entertainment, and other compliance controls.
• Prepare corporate resolutions and consents and assist with general entity management and governance activities.
• Prepare and coordinate regulatory and state filings, including Blue Sky, BOI, and California lobbying filings.
• Coordinate preparation for mock regulatory examinations, including gathering materials, reviewing documentation, and administering the mock exam process.
• Develop and oversee vendor due diligence processes, including ongoing monitoring and documentation.
• Implement and administer compliance certifications and attestations, including initial, quarterly, and annual requirements, through the firm's compliance monitoring system.
• Maintain accurate compliance records, databases, and supporting documentation.
• Assist with special compliance, regulatory, and operational projects as needed.

Skills

KYC/AML

MNPI

NDA management

Vendor due diligence

Compliance testing

Regulatory filings

Communication skills

Microsoft Office

Education

Bachelor's degree

Tools

Compliance monitoring systems

Job description

We are seeking a detail-oriented and proactive Compliance Associate to support the firm's compliance program and help ensure adherence to regulatory requirements, internal policies, and industry best practices. This role will be part-time (20 to 24 hours per week), will work closely with Legal, Compliance, HR, IT, Cyber, and business teams, and will have responsibility for a broad range of compliance, operational, and corporate governance activities.

The ideal candidate is comfortable managing multiple priorities, handling confidential information, exercising sound judgment, and working independently in a fast-paced investment management environment.

Key Responsibilities

• Administer and help enforce requirements established under the firm's Code of Ethics, Compliance Manual, and Employee Handbook.
• Review marketing materials, operational due diligence requests, and investor KYC/AML documentation for compliance with firm policies and applicable requirements.
• Partner with IT and Cybersecurity teams to review, approve, implement, and oversee IT and cybersecurity policies and related compliance programs.
• Manage the firm's NDA process, including negotiating terms, coordinating with bankers and counterparties, advising employees on the appropriate handling of confidential information, and maintaining the NDA database.
• Support HR and IT with employee onboarding and offboarding processes from a compliance perspective.
• Administer initial compliance training for new employees and educate personnel regarding key compliance issues, including material nonpublic information (MNPI), political contributions, outside business activities, gifts and entertainment, and employee trading.
• Conduct quarterly compliance testing related to electronic communications, employee trades, gifts and entertainment, and other compliance controls.
• Prepare corporate resolutions and consents and assist with general entity management and governance activities.
• Prepare and coordinate regulatory and state filings, including Blue Sky, Beneficial Ownership Information (BOI), and California lobbying filings.
• Coordinate preparation for mock regulatory examinations, including gathering materials, reviewing documentation, and administering the mock exam process.
• Develop and oversee vendor due diligence processes, including ongoing monitoring and documentation.
• Implement and administer compliance certifications and attestations, including initial, quarterly, and annual requirements, through the firm's compliance monitoring system.
• Maintain accurate compliance records, databases, and supporting documentation.
• Assist with special compliance, regulatory, and operational projects as needed.

Qualifications

• Bachelor's degree required; relevant compliance, legal, business, finance, or regulatory experience preferred.
• 3+ years of compliance, legal, regulatory, or related experience, preferably within an investment management, private equity, financial services, or similar environment.
• Working knowledge of investment management compliance concepts, including KYC/AML, MNPI, employee trading, gifts and entertainment, political contributions, and outside business activities.
• Experience with compliance testing, monitoring, certifications, and regulatory filings.
• Strong written and verbal communication skills, with the ability to communicate compliance requirements clearly to employees and business partners.
• Excellent organizational skills and attention to detail, with the ability to manage multiple deadlines and priorities.
• Strong judgment and discretion when handling confidential and sensitive information.
• Ability to collaborate effectively with Legal, HR, IT, Cybersecurity, and other internal stakeholders.
• Proficiency with Microsoft Office and compliance monitoring or workflow systems.

Preferred Experience

• Experience with vendor due diligence programs.
• Experience managing NDA processes and negotiating confidentiality provisions.
• Experience preparing for regulatory examinations or mock exams.
• Familiarity with Blue Sky, BOI, and state lobbying filings.
• Experience implementing compliance certifications, attestations, and monitoring controls.

What We're Looking For

The successful candidate will be a hands-on compliance professional who takes ownership of processes, anticipates potential compliance issues, and can translate policies and regulatory requirements into practical guidance for employees and business partners. This person should be comfortable operating across functions and managing both recurring compliance requirements and evolving firm initiatives.

Physical Requirements

• Must be able to perform essential duties satisfactorily with reasonable accommodations
• Work is generally performed sitting, talking, hearing, and typing
• This is a high-volume screen-based role, requiring constant, prolonged computer usage, including but not limited to: reviewing documents, managing visual content, and attending virtual meetings
• Visual acuity required for computer use, data analysis, and extended reading
• Prolonged periods of sitting at a desk and working on a computer
• Frequent use of hands and fingers for typing and document handling
• Occasional standing, walking, bending, and reaching
• Ability to lift and carry items weighing up to 30 pounds

Remote Work & Information Security Requirements

Employees in this role are expected to maintain a work environment that supports the protection of confidential, proprietary, and client-sensitive information, consistent with Company policies and applicable legal and regulatory requirements.

To support these obligations, individuals in this role should be able to:

• Maintain a secure and reliable internet connection capable of supporting required systems and applications
• Utilize company-issued or approved technology, including compliance with required security tools (e.g., VPN, multi-factor authentication, endpoint protection)
• Conduct work in a manner that protects the confidentiality of information, including taking reasonable steps to prevent unauthorized access, viewing, or disclosure of sensitive materials
• Follow all applicable information security, data privacy, and acceptable use policies as communicated by the Company
• Promptly report any suspected security incidents, breaches, or system vulnerabilities in accordance with Company protocols

Workplace Monitoring & Data Use Notice

To protect client and Company systems, data, and confidential information, Trustpoint may implement reasonable administrative, technical, and physical safeguards, which may include monitoring of Company-provided systems, devices, and networks, consistent with applicable law.

In certain roles, individuals may perform work within client-controlled environments, including client systems, platforms, or physical worksites. In such cases, work activities may also be subject to the client’s applicable policies, procedures, and monitoring practices.

Trustpoint does not control client monitoring practices but expects that any such practices will be conducted in accordance with applicable laws and contractual obligations. Additional information regarding applicable policies will be provided during the onboarding process or prior to assignment, as appropriate.

Client Specific Requirements Notice

Certain roles may be subject to additional client-specific screening, compliance, or credentialing requirements. Any such requirements will be communicated at the appropriate stage of the hiring process and will be administered in accordance with applicable federal, state, and local laws.

Pay Transparency Notice

Pursuant to applicable law, this position includes a good-faith salary or hourly range at the time of posting. The final compensation offered will be determined based on factors including, but not limited to, relevant experience, skills, education, geographic location, and business needs.

Equal Employment Opportunity Statement

Trustpoint provides equal employment opportunities to all employees and applicants and prohibits discrimination and harassment of any type. Employment decisions are made without regard to any protected characteristic under applicable federal, state, or local law.