Compliance Associate

CIFC Asset Management; New York (NY); On-site; USD 110,000 - 140,000; Full time

Job summary

CIFC Asset Management seeks a Compliance Associate to play a hands-on role in administering the firm’s global compliance program. You will work closely with the Chief Compliance Officer and Legal/Compliance teams to execute core tasks, including filings, reviews, and exam support.

This role targets a senior compliance professional with knowledge of the Investment Advisers Act of 1940, including marketing reviews and testing, with potential exposure to European and Asian regulatory requirements.

Qualifications

• Experience in compliance at an SEC-registered investment adviser or compliance consulting firm.
• Detail-oriented, organized, and entrepreneurial with problem-solving skills.
• Comfortable in a fast-paced environment with shifting priorities.
• Self-starter who can work independently and in a team.

Responsibilities

• Manage incoming KYC requests from trading counterparties and service providers.
• Conduct quarterly compliance reviews, including testing, documentation, and issue tracking.
• Review marketing materials and disclosures for regulatory compliance requirements.
• Support responses to investor due diligence questionnaires and information requests.
• Assist with policies and procedures related to private information and data monitoring.
• Assist with oversight of the firm’s code of ethics, including personal trading and gifts/entertainment.
• Assist with regulatory filings and SEC examinations preparation.

Skills

Compliance experience

Attention to detail

Regulatory knowledge

Strong communication

Job description

Founded in 2005, CIFC Asset Management LLC (together with its affiliates, “CIFC” or the “Firm”) is a global credit manager with $47+ billion in assets under management. CIFC focuses across multiple disciplines including CLOs, structured credit, corporate credit, and opportunistic credit, as well as direct lending. With offices in Miami, New York and London, and serving over 400 investors globally, we have approximately 200 employees. For more information, please visit CIFC’s website at www.cifc.com.

Position Overview

The firm is seeking a Compliance Associate to play a critical, hands-on role in the administration and execution of the firm’s compliance program across the world.

This position is ideal for a senior compliance professional with knowledge of the Investment Advisers Act of 1940, including experience in marketing reviews and compliance testings. A plus would be a candidate who also has working knowledge of regulatory requirements in Europe and Asia.

The Compliance Associate will work closely with the Chief Compliance Officer and Legal/Compliance teams at CIFC, and across business functions to personally execute core compliance tasks, including regulatory filings, compliance reviews, and examination support. This is not a purely advisory or oversight role — the successful candidate must be willing and proactive in getting into the weeds, drafting filings, reviewing materials line-by-line, and owning deliverables. The role requires sound judgment, attention to detail, and a collaborative, team-player approach even when dealing with various personalities.

Key Responsibilities

• Manage incoming KYC requests from trading counterparties and service providers
• Conduct quarterly compliance reviews, including testing, documentation, and issue tracking
• Review marketing materials and disclosures for regulatory compliance requirements
• Support responses to investor due diligence questionnaires and information requests
• Support the implementation of various policies and procedures related to private information (i.e., updating databases and monitoring expert network calls)
• Assist with oversight of the firm’s code of ethics (i.e., personal trading, and gifts & entertainment)
• Assist with regulatory filings
• Assist with firm preparation for SEC examinations, including document collection, production, and issue tracking
• Serve as a practical, solution-oriented compliance partner to investment, operations, legal, and investor relations teams

Qualifications & Experience

• Three to five years of compliance experience at an SEC-registered investment adviser or compliance consulting firm
• Highly detail-oriented, organized, and entrepreneurial - a problem solver
• Comfortable working in a fast-paced environment with constantly shifting priorities
• Self-starter who is able to work independently and as part of a collaborative team
• Strong written and verbal communication skills
• Professional judgment, discretion, and a collaborative, team-first mindset

Reporting Relationship

Reports directly to the Chief Compliance Officer and serves as a key day-to-day partner and trusted compliance resource across the firm