Compliance Associate

WhiteCap Search; Stamford (CT); On-site; USD 70,000 - 100,000; Full time

Job summary

Whitecap Search is seeking a dedicated compliance professional to join a dynamic team within a leading financial institution in Stamford, CT. The role offers exposure to senior leadership and involvement in day-to-day compliance operations, policy development, and implementation.

The successful candidate will work closely with senior executives and contribute to the development of regulatory policies, ensuring alignment with investment advisor requirements and industry standards.

Qualifications

• Minimum of 3 years of experience in investment advisor regulatory compliance.
• Strong understanding of fund formation and related documentation, including formation and offering documents.

Responsibilities

• Manage the daily compliance functions and serve as the primary point of contact for regulatory inquiries.
• Collaborate with various internal teams to ensure seamless integration of compliance policies and procedures.
• Assist in the development and implementation of new compliance policies and procedures.
• Provide support to the Chief Compliance Officer and General Counsel in compliance-related matters.

Skills

Regulatory compliance

Fund formation

Job description

Whitecap Search is seeking a dedicated and detail-oriented professional to join a dynamic compliance team. This opportunity offers exposure to senior leadership and the chance to play a pivotal role in the day-to-day compliance operations within a leading financial institution. The successful candidate will work closely with senior executives and contribute to the development and implementation of compliance policies.

Responsibilities

• Manage the daily compliance functions and serve as the primary point of contact for regulatory inquiries.
• Collaborate with various internal teams to ensure seamless integration of compliance policies and procedures.
• Assist in the development and implementation of new compliance policies and procedures.
• Provide support to the Chief Compliance Officer and General Counsel in compliance-related matters.

Requirements

• Minimum of 3 years of experience in investment advisor regulatory compliance.
• Strong understanding of fund formation and related documentation, including formation and offering documents.

Disclosure: The hourly rates and/or salaries listed may or may not reflect total compensation packages including bonus and fringe benefits, etc., nor are the advertisement(s) posted a guarantee of a certain compensation package for a position or bona fide offer of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against on the basis of disability.