Compliance Associate

Taylor Root; New York (NY); On-site; USD 90,000 - 130,000; Full time

Job summary

Taylor Root is seeking a Compliance Associate in New York to support a growing compliance program within a leading alternative investment manager. The role partners with investment, legal, operations, and investor relations teams to handle regulatory filings, examinations, and disclosures, including Form ADV and Form PF.

The ideal candidate will have a Bachelor's degree and 2–5 years of compliance experience in SEC-registered investment firms, with familiarity in private credit/alternative

Qualifications

• Bachelor’s degree required.
• 2–5 years of compliance experience with an SEC-registered investment adviser, asset manager, or alternative investment firm.
• Experience in private credit, private equity, or alternative investments preferred.
• Knowledge of the Investment Advisers Act, Investment Company Act, and related regulatory requirements.
• Strong organizational skills and exceptional attention to detail.
• Excellent written and verbal communication skills.
• Collaborative, proactive, and able to thrive in a fast-paced environment.

Responsibilities

• Support the firm’s compliance program, including policies, procedures, testing, monitoring, and regulatory projects
• Assist with annual compliance reviews and testing activities
• Prepare and support regulatory filings and disclosures, including Form ADV and Form PF
• Support regulatory examinations, audits, and information requests
• Review marketing materials and investor communications for compliance requirements
• Partner with internal teams on risk assessments, compliance initiatives, and process improvements
• Maintain and enhance compliance policies, procedures, and internal controls
• Assist with Code of Ethics administration and employee conduct matters
• Serve as a compliance resource to business stakeholders across the firm

Skills

Organizational skills

Written communication

Verbal communication

Collaboration

Proactiveness

Education

Bachelor's degree

Job description

A leading alternative investment manager is seeking a Compliance Associate to join its growing team. This is an excellent opportunity to gain broad exposure to a sophisticated private markets platform focused on private credit and alternative investments.

Working closely with senior compliance leadership, you’ll partner with investment, legal, operations, and investor relations teams on key regulatory and compliance initiatives.

Responsibilities

• Support the firm’s compliance program, including policies, procedures, testing, monitoring, and regulatory projects
• Assist with annual compliance reviews and testing activities
• Prepare and support regulatory filings and disclosures, including Form ADV and Form PF
• Support regulatory examinations, audits, and information requests
• Review marketing materials and investor communications for compliance requirements
• Partner with internal teams on risk assessments, compliance initiatives, and process improvements
• Maintain and enhance compliance policies, procedures, and internal controls
• Assist with Code of Ethics administration and employee conduct matters
• Serve as a compliance resource to business stakeholders across the firm

Qualifications

• Bachelor’s degree required
• 2-5 years of compliance experience with an SEC-registered investment adviser, asset manager, or alternative investment firm
• Experience in private credit, private equity, or alternative investments preferred
• Knowledge of the Investment Advisers Act, Investment Company Act, and related regulatory requirements
• Strong organizational skills and exceptional attention to detail
• Excellent written and verbal communication skills
• Collaborative, proactive, and able to thrive in a fast-paced environment