Compliance Associate

Beacon Hill; New York (NY); Remote; USD 104,000 - 114,000; Full time

Job summary

Beacon Hill is partnering with a leading advisory firm to identify a Compliance Associate for a long-term contract opportunity supporting a premier financial services client. This role is ideal for a compliance professional with experience in investment advisory compliance who is looking to deepen their expertise within asset management and structured products.

New York, New York. Remote candidates will be considered.

Qualifications

• Bachelor's degree required.
• 2+ years of relevant compliance experience.
• Experience with SEC-registered investment advisers.
• Knowledge of the Investment Advisers Act.
• Experience with data systems and multiple data sources.
• Experience with structured products such as CLOs or CDOs is a plus.

Responsibilities

• Support investment compliance for CLOs, CDOs, and similar products, including guideline monitoring, MNPI/restricted-list controls, trade surveillance, allocation testing, and conflicts management.
• Help strengthen MNPI monitoring and controls.
• Support compliance with the Investment Advisers Act and related requirements.
• Assist with compliance testing, monitoring, reporting, and policy development.
• Utilize compliance data systems, databases, and multiple data sources to support compliance functions.

Skills

Compliance experience

Investment advisory compliance

MNPI monitoring

Trade surveillance

Data systems experience

Structured products knowledge

Education

Bachelor's degree

Job description

Compliance Associate (F1474233TNM) New York, New York

Salary: USD50 - USD55 per hour

Beacon Hill is partnering with a leading advisory firm to identify a Compliance Associate for a long-term contract opportunity supporting a premier financial services client. This role is ideal for a compliance professional with experience in investment advisory compliance who is looking to deepen their expertise within asset management and structured products. Remote candidates will be considered.

Key Responsibilities

• Support investment compliance for CLOs, CDOs, and similar products, including investment guideline monitoring, MNPI/restricted-list controls, trade surveillance, allocation testing, and conflicts management.
• Help strengthen MNPI monitoring and controls.
• Support compliance with the Investment Advisers Act and related requirements.
• Assist with compliance testing, monitoring, reporting, and policy development.
• Utilize compliance data systems, databases, and multiple data sources to support compliance functions.

Qualifications

• Bachelor's degree required.
• 2+ years of relevant compliance, legal, or regulatory experience, preferably in asset management, private credit, or financial services.
• Experience supporting SEC-registered investment advisers.
• Knowledge of investment compliance and the Investment Advisers Act.
• Experience with compliance data systems, databases, and multiple data sources.
• Experience with structured products, including CLOs and CDOs, is a plus.