Compliance Associate

Nextera Search; New York (NY); On-site; USD 85,000 - 125,000; Full time

Job summary

Nextera Search is seeking a Compliance Associate for an Investment Management Firm in New York. You will support the administration and ongoing development of the firm's compliance program and maintain policies, procedures, and monitoring processes.

You will assist with regulatory reporting, reviews, and testing, support AML/KYC and other investor and counterparty compliance requirements, and collaborate with internal teams and external service providers to enhance controls and technology.

Qualifications

• 3+ years of compliance, legal, regulatory, or related financial services experience.
• Experience within investment management, financial services, consulting, or a related environment.
• Familiarity with regulatory reporting, compliance testing, and AML/KYC processes.
• Strong written and verbal communication skills.
• Excellent attention to detail and organizational skills.

Responsibilities

• Support the administration and ongoing development of the firm's compliance program
• Maintain compliance policies, procedures, documentation, and internal monitoring processes
• Assist with regulatory reporting, periodic reviews, and compliance testing
• Support AML/KYC and other investor and counterparty compliance requirements
• Review business communications and materials for compliance with applicable policies and regulations
• Assist with monitoring and surveillance activities across the organization
• Partner with internal teams and external service providers on compliance-related matters
• Identify opportunities to enhance compliance processes, controls, and technology
• Assist with new initiatives and other compliance-related projects as needed

Skills

Regulatory compliance

Investment management

AML/KYC

Communication skills

Analytical thinking

Prioritization

Tools

Microsoft Office

Job description

An Investment Management Firm is seeking an experienced professional to join their team as a Compliance Associate.

Responsibilities:

• Support the administration and ongoing development of the firm's compliance program
• Maintain compliance policies, procedures, documentation, and internal monitoring processes
• Assist with regulatory reporting, periodic reviews, and compliance testing
• Support AML/KYC and other investor and counterparty compliance requirements
• Review business communications and materials for compliance with applicable policies and regulations
• Assist with monitoring and surveillance activities across the organization
• Partner with internal teams and external service providers on compliance-related matters
• Identify opportunities to enhance compliance processes, controls, and technology
• Assist with new initiatives and other compliance-related projects as needed

Qualifications:

• 3+ years of compliance, legal, regulatory, or related financial services experience
• Experience within investment management, financial services, consulting, or a related environment
• Familiarity with regulatory reporting, compliance testing, and AML/KYC processes
• Strong written and verbal communication skills
• Excellent attention to detail and organizational skills
• Strong analytical and problem-solving capabilities
• Ability to manage multiple priorities and work effectively across different functions
• Proficiency in Microsoft Office and ability to learn new systems and technologies quickly