Compliance Associate

Aquarian Holdings; New York (NY); On-site; USD 135,000 - 160,000; Full time

Job summary

A leading financial firm is looking for a Compliance Associate in New York, responsible for administering the firm's AML and KYC programs. The role demands high analytical and interpersonal skills, with a focus on ensuring compliance with regulations while supporting firm-wide initiatives. Ideal candidates have a Bachelor’s degree and relevant experience, eager to contribute to a dynamic team.

Benefits

401(k)

Medical insurance

Vision insurance

Paid paternity leave

Paid maternity leave

Qualifications

• Bachelor's degree required.
• 5-8 years of experience, with 3+ years in AML/KYC preferred.
• Strong proficiency in Microsoft Office necessary.

Responsibilities

• Administer and review AML/KYC documentation.
• Conduct risk assessments and due diligence on vendors.
• Deliver training on AML/KYC policies.

Skills

Analytical skills

Organizational skills

Interpersonal skills

Attention to detail

Education

Bachelor's degree

CAMS certification (preferred)

Tools

Microsoft Office

Job description

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Join to apply for the Compliance Associate role at Aquarian Holdings

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This range is provided by Aquarian Holdings. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$135,000.00/yr - $160,000.00/yr

Additional compensation types

Annual Bonus

Aquarian

Aquarian is a diversified global holding company with a strategic portfolio of insurance and asset management solutions.

After launching in 2017, Aquarian finalized its first investment in 2018. Since then, Aquarian has grown to over $21.9B in assets under management. Aquarian Insurance acquires and operates companies providing retirement income and reinsurance solutions for millions of people.

Aquarian Investments deploys capital into opportunities that yield attractive risk-adjusted returns with downside protection for its clients. Aquarian's approach combines a wide and holistic view of the investment landscape with incisive decision-making and deep investing acumen. The company invests across the capital structure and creates tailored financing solutions that enable high-quality companies to grow and evolve.

Aquarian is an ideal environment for those driven to make a lasting impact on long-term investing. We value diverse perspectives and believe aligning employee incentives with the firm's performance is essential to the business's success. We offer people an opportunity to build together and be a part of something bigger than themselves.

The Role

The Compliance Associate is responsible for administering the firm's investor and transactional Anti-Money Laundering (AML) and Know Your Customer (KYC) diligence and monitoring program. This individual is or will become a subject matter expert on AML/KYC policies, procedures, and practices. The Compliance Associate will also provide support to the firm's compliance framework across the organization. This includes conducting risk assessments, performing testing, conducting due diligence on vendors and other third parties, working on core compliance matters, and contributing to firm initiatives and regulatory responses.

This is a dynamic, hands-on position that requires strong analytical, organizational, and interpersonal skills in a fast-paced and evolving environment.

Responsibilities:

• Administer Aquarian's AML/KYC policies and procedures.
• Review and assess AML/KYC documentation throughout the investment lifecycle.
• Conduct and analyze database screening results; escalate findings as necessary.
• Maintain accurate and up-to-date AML/KYC books and records.
• Respond to third-party AML/KYC and sanctions-related inquiries.
• Support technology and compliance initiatives to improve AML/KYC processes.
• Monitor regulatory updates impacting AML/KYC requirements.
• Deliver internal training on AML/KYC policies and procedures.
• Perform testing and monitoring in accordance with the annual compliance plan.
• Conduct initial and ongoing due diligence on vendors and other third parties.
• Assist with various Code of Ethics-related compliance tasks.
• Perform other duties assigned by Compliance team leadership.

Ideal profile and characteristics:

• Strong project management, organizational, and multitasking abilities.
• Excellent verbal and written communication skills.
• High attention to detail and commitment to accuracy.
• Strong proficiency in Microsoft Office (Outlook, Word, Excel, PowerPoint).
• Demonstrated ability to handle confidential information with discretion.
• Comfortable interacting with all levels of professionals in a team-oriented environment.
• Proactive, adaptable, and capable of prioritizing in a fast-paced setting.

Education & Certifications:

• Bachelor's degree required.
• CAMS certification is preferred but not required.

Professional Experience:

• 5-8 years of experience.
• 3+ years of AML/KYC experience, preferable in the alternative investment sector.

Seniority level

• Seniority level

  Associate

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance

Referrals increase your chances of interviewing at Aquarian Holdings by 2x

Inferred from the description for this job

401(k)

Medical insurance

Vision insurance

Paid paternity leave

Paid maternity leave

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