Compliance Associate

Dynamics Executive Search; United States; On-site; USD 80,000 - 120,000; Full time

Job summary

A leading global investment manager in the United States is seeking a Compliance Associate to join its Credit Compliance team. The role involves advising on compliance matters and overseeing trade reviews, requiring at least three years of experience in compliance within the financial services industry. Strong communication and organizational skills are essential. This full-time position offers exposure to senior leadership and collaboration across teams.

Qualifications

• Minimum of 3 years of experience in a compliance role within the asset management or financial services industry.
• Strong understanding of investment management and private fund structures.
• Familiarity with credit strategies such as loan trading, direct lending, securitized products, and distressed debt.

Responsibilities

• Advise investment professionals on compliance-related matters.
• Conduct trade oversight reviews including allocations and fair pricing.
• Monitor compliance with investment guidelines and fund restrictions.

Skills

Compliance oversight

Investment management knowledge

Communication skills

Attention to detail

Organizational skills

Job description

Direct message the job poster from Dynamics Executive Search

Our client is a leading global alternative investment manager with over $200 billion in assets under management. With a history spanning over three decades, the firm invests across a wide spectrum of strategies including credit, private equity, real estate, impact, and market solutions. The firm’s investment philosophy is rooted in collaboration, innovation, and disciplined execution.

Operating globally, the organization brings together deep product expertise and industry knowledge to deliver differentiated insights and value for investors, portfolio companies, and stakeholders. The firm is committed to fostering a culture that prioritizes diversity of thought, transparency, and continuous development.

Position Overview

The firm is seeking a Compliance Associate to join its Credit Compliance team in New York. This individual will support compliance oversight for the firm’s global credit platform. The role offers exposure to senior leadership and cross-functional collaboration with investment, legal, operations, and regulatory teams.

Key Responsibilities

• Advise investment professionals and business groups on compliance-related matters, including affiliate considerations, conflicts of interest, and cross-trade policies
• Conduct trade oversight reviews including allocations, fair pricing, and valuation support
• Monitor compliance with pre- and post-trade investment guidelines and fund restrictions
• Review electronic communications and investigate trade surveillance alerts
• Partner with broader compliance functions to support the credit investment business
• Assist in the preparation and submission of regulatory filings for private funds and investment vehicles
• Identify and elevate potential conflicts of interest, coordinating resolutions with business and compliance leadership
• Enhance and maintain compliance testing processes and operational workflows
• Support internal audits, regulatory examinations, and inquiries
• Coordinate with third-party consultants and internal stakeholders on compliance testing and documentation

Qualifications

• Minimum of 3 years of experience in a compliance role within the asset management or financial services industry
• Strong understanding of investment management and private fund structures
• Familiarity with credit strategies such as loan trading, direct lending, securitized products, and distressed debt
• Working knowledge of information barriers, wall-crossing processes, and cleansing protocols
• Excellent written and verbal communication skills; ability to effectively present complex concepts to stakeholders
• Exceptional organizational skills and attention to detail
• Ability to thrive in a dynamic, fast‑paced environment with multiple priorities
• Collaborative mindset and a proactive, solutions‑oriented approach

Seniority level

• Associate

Employment type

• Full-time

Job function

• Accounting/Auditing

Industries

• Investment Management, Financial Services, and Capital Markets