Compliance Associate

Alexander Chapman; New York (NY); Hybride; USD 90 000 - 100 000; Plein temps

Résumé du poste

Alexander Chapman Ltd. is seeking a Compliance Associate to join its compliance team with exposure to registered funds, regulatory filings, governance, and marketing review.

The role includes handling U.S. and international fund contracts, SEC filings, board material preparation, and ongoing policy maintenance. Ideal candidates have 1–3 years in funds compliance and a finance/business-related degree.

Qualifications

• 1–3 years of experience in mutual funds or ETFs.
• Bachelor's degree in finance, business, legal studies, or related field.
• Knowledge of the Investment Company Act, Advisers Act, and SEC/FINRA requirements.

Responsabilités

• Support contracts and agreements for U.S. and international funds and corporate entities.
• Assist with registration statements, prospectus updates, shareholder disclosures, and SEC filings, including Section 13 filings.
• Prepare Board materials, coordinate meeting agendas, and draft minutes.
• Help maintain compliance policies, procedures, and filing records.
• Research regulatory developments affecting investment advisers, mutual funds, and ETFs.

Connaissances

Regulatory compliance

Investment knowledge

Documentation & filings

Formation

Bachelor's degree in finance

Description du poste

Our client, an established investment management firm is seeking a Compliance Associate to join its compliance team.

This role offers broad exposure to registered funds, regulatory filings, governance, and marketing review.

Responsibilities

• Support contracts and agreements for U.S. and international funds and corporate entities.
• Assist with registration statements, prospectus updates, shareholder disclosures, and SEC filings, including Section 13 filings.
• Prepare Board materials, coordinate meeting agendas, and draft minutes.
• Help maintain compliance policies, procedures, and filing records.
• Research regulatory developments affecting investment advisers, mutual funds, and ETFs.

Qualifications

• 1-3 years of relevant experience, preferably supporting mutual funds or ETFs.
• Bachelor's degree in finance, Business, Legal Studies, or a related field, or equivalent education and experience
• Knowledge of the Investment Company Act, Investment Advisers Act, and SEC/FINRA requirements.

About the opportunity:

• Compensation Range: $90,000 - $100,000 base salary + Bonus
• Work Module: Hybrid (3 days in the office, 2 days remote)