Compliance Associate

Madison-Davis, LLC; United States; On-site; USD 60,000 - 80,000; Full time

Job summary

A global investment management firm is looking for a Compliance Associate to monitor trading activities and ensure regulatory compliance. This full-time position involves resolving compliance alerts, reporting, and process improvement initiatives within the compliance program. The ideal candidate has a mix of technical compliance work and strong collaborative skills in finance. Join a dynamic team to enhance controls and contribute to compliance initiatives, ensuring alignment with client guidelines. Apply now!

Responsibilities

• Review and resolve post‑trade compliance alerts and daily trading reports in partnership with trading and operations teams.
• Support client and regulatory reporting in collaboration with Compliance, Legal, Portfolio Management, Relationship Management, and IT.
• Identify and implement process improvements within the portfolio compliance program.
• Maintain restricted lists, monitor account restrictions, and prepare client certifications and regulatory disclosures.
• Ensure compliance documentation is current, perform reconciliations, manage team requests, and support ad hoc projects.

Job description

We are supporting a Compliance Associate role with a global investment management firm. This position works closely with the trading desk, front office, and operations, and is ideal for someone who enjoys a mix of technical compliance work, regulatory reporting, and hands‑on problem solving.

The role focuses on monitoring daily trading activity and holdings to ensure alignment with client guidelines, internal policies, and regulatory requirements. You’ll review and resolve post‑trade alerts, coordinate daily reports, manage restricted lists, support foreign ownership and shareholder disclosure filings, and partner with teams across Compliance, Legal, Technology, and Portfolio Management. There’s also room to improve processes, enhance controls, and contribute to special compliance initiatives.

Responsibilities

• Review and resolve post‑trade compliance alerts and daily trading reports in partnership with trading and operations teams.
• Support client and regulatory reporting in collaboration with Compliance, Legal, Portfolio Management, Relationship Management, and IT.
• Identify and implement process improvements within the portfolio compliance program.
• Maintain restricted lists, monitor account restrictions, and prepare client certifications and regulatory disclosures.
• Ensure compliance documentation is current, perform reconciliations, manage team requests, and support ad hoc projects.

Seniority level

Associate

Employment type

Full‑time

Job function

Finance

Industries

Financial Services and Banking