Compliance Associate

Cardea Group; New York (NY); On-site; USD 150,000 - 200,000; Full time

Job summary

An innovative private equity firm is seeking a Compliance Associate to join their dynamic New York office. This newly-created role offers a unique opportunity to shape compliance processes while working closely with a passionate Chief Compliance Officer. The firm promotes a collaborative and growth-oriented culture, emphasizing transparency and inclusivity. As a key player in overseeing trading activities and ensuring adherence to regulatory standards, you will significantly impact the firm's operations. If you are ready to grow in a supportive environment focused on healthcare innovations, this role is perfect for you.

Benefits

Medical Insurance

Qualifications

• 3-8 years of compliance experience, preferably in asset management.
• Familiarity with long/short equity is preferred.

Responsibilities

• Oversee trading activities to ensure compliance with regulations.
• Develop and update compliance policies to meet regulatory requirements.

Skills

Compliance Management

Regulatory Knowledge

Organizational Skills

Analytical Mindset

Communication Skills

Education

Bachelor’s Degree

Tools

Enfusion

ComplySci

Job description

Compliance Associate (New York, NY): Our client, a private equity firm with over $10B in AUM, is seeking a Compliance Associate to join their New York office in a newly-created role. The firm is driven to deliver meaningful returns by supporting forward-thinking companies and leaders working in cutting-edge innovations and solutions, with a focus on healthcare. This role will be key in supporting trade activities and managing the portfolio process, ensuring compliance with both regulatory requirements and internal policies.

Key Points:

• Newly established role based in the New York office, offering a unique opportunity to shape and grow within the position.
• Work directly with the CCO who is exceptional and passionate about mentorship.
• Collaborative, growth-oriented office culture that encourages innovation and continuous improvement
• Supportive environment that values transparency, inclusivity, and open communication
• Work closely with the investment team and develop relationships across the firm

Responsibilities:

• Oversee and approve trading activities to ensure compliance with applicable regulations and internal guidelines.
• Assist in developing, implementing, and updating compliance policies and procedures to meet evolving regulatory requirements.
• Prepare, maintain, and file periodic compliance reports, ensuring accuracy and timeliness.
• Serve as a liaison between traders, portfolio managers, compliance teams, management, and external service providers to address compliance-related matters.
• Conduct training sessions for staff to promote awareness and understanding of compliance guidelines, policies, and procedures.
• Utilize compliance platforms like Enfusion and ComplySci to monitor trading activities and ensure adherence to compliance protocols.
• Stay abreast of evolving regulatory requirements and industry trends. Assess their impact on the firm's operations and implement necessary changes to ensure compliance.

Qualifications:

• Bachelor’s degree with 3-8 years of relevant compliance experience, preferably at the SEC and/or within asset management
• Familiarity with long/short equity
• Excellent organizational skills and strong attention to detail
• Strong technical capabilities and an analytical mindset
• Proficient written and verbal communication skills

Compensation: $150-200k base; up to $300k all-in

Job Reference # 3136525

Seniority level

• Seniority level

  Associate

Employment type

• Employment type

  Full-time

Job function

• Job function

  Administrative

• Industries

  Investment Management and Venture Capital and Private Equity Principals

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Inferred from the description for this job

Medical insurance

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