Compliance Associate - Asset Management

Arrow Search Partners; United States; On-site; USD 70,000 - 100,000; Full time

Job summary

Arrow Search Partners represents a prominent asset manager seeking a Compliance Associate to support generalist compliance responsibilities. The role includes assisting with regulatory governance filings such as Form ADV and PF, and helping ensure ongoing regulatory readiness.

You will conduct compliance testing, administer trainings, and update materials to reflect material changes across the organization.

Qualifications

• Bachelor's degree required.

Responsibilities

• Support regulatory filings such as Form ADV, PF, etc.
• Conduct compliance testing.
• Administer compliance training and update materials to address material changes within the organization.
• Support AML, KYC, and OFAC initiatives across the organization.
• Respond to regulatory inquiries and facilitate regulatory examinations.
• Develop policies & procedures and update the Compliance Manual.
• Marketing material review.

Education

Bachelor's Degree

Job description

Our client, a prominent asset manager, is looking to hire a Compliance Associate to their team to support generalist compliance responsibilities

Key Responsibilities:

• Support regulatory governance filings such as Form ADV, PF, etc.
• Conduct compliance testing.
• Administer compliance training and update materials to address material changes within the organization.
• Support AML, KYC, and OFAC initiatives across the organization.
• Respond to regulatory inquiries and facilitate regulatory examinations.
• Develop policies & procedures and update the Compliance Manual.
• Marketing material review

Requirements

• Bachelor's Degree
• 2-8 years of compliance experience at an asset management firm