Compliance Associate (Capital Markets)

Coda Search│Staffing; New York (NY); On-site; USD 85,000 - 110,000; Full time

Job summary

Coda Search Staffing is seeking an Associate to join a growing global Compliance Team for a leading Alternative Asset Management client in New York. The role involves close collaboration with Legal, Compliance, and Regulatory groups and high-visibility interaction with department heads including the CCO and CFO.

Responsibilities include supporting regulatory filings, governance processes, surveillance, and testing, plus preparing governance presentations for senior management.

Qualifications

• Bachelor’s degree from an accredited college or university.
• 1+ years of experience in compliance, legal, regulatory advisory, risk management, project coordination, or related financial services role preferred.
• Intermediate to Advanced Microsoft Excel/PowerPoint skills are required.
• Effective oral and written communication skills and ability to listen effectively.

Responsibilities

• Oversee new initiatives targeting the maintenance of the Laws, Rules and Regulations to support firm Corporate Compliance Function
• Aid Chief Compliance Officer with process improvement, and highlight potential policies and procedures changes
• Prepare regulatory/governance filings, collaborate with Head of compliance to support firm compliance initiatives
• Monitor compliance testing and surveillance
• Assist in researching and responding to comments and/or inquiries received from regulators
• Review and test personal trading activities for compliance with regulations and the Code of Ethics
• Preparing investment related presentations for senior management and firm principals
• Identify opportunities to centralize and optimize processes to improve overall group performance
• Assist with special projects, as requested.

Skills

Data analysis

Regulatory compliance

Communication skills

Project coordination

Education

Bachelor's degree

Tools

Excel

PowerPoint

Job description

One of our highly reputable Alternative Asset Management clients currently seeking to add an Associate to their growing global Compliance Team. Ideal candidate will be working very closely with several Teams including but limited to Legal, Compliance, and Regulatory. This individual will also be responsible for working very closely with various department Heads (Highly Visible role) including but not limited to; CCO, Legal/GC, Director of Finance, COO and CFO.

Essential Functions:

• Oversee new initiatives targeting the maintenance of the Laws, Rules and Regulations to the support firm Corporate Compliance Function
• Aid Chief Compliance Officer with process improvement, and highlight potential policies and procedures changes
• Prepare regulatory/governance filings, collaborate with Head of compliance to support firm compliance initiatives
• Monitor compliance testing and surveillance
• Assist in researching and responding to comments and/or inquiries received from regulators
• Review and test personal trading activities for compliance with regulations and the Code of Ethics
• Preparing investment related presentations for senior management and firm principals
• Candidate will be responsible for identifying opportunities to centralize and optimize the processes to constantly improve overall group performance
• Assist with special projects, as requested.

QUALIFICATIONS:

• Bachelor’s degree from an accredited college or university;
• The candidate will have a demonstrated ability to analyze data and be able to present findings to the managerial level personnel.
• 1+ years of experience in compliance, legal, regulatory advisory, risk management, project coordination, or a related financial services role preferred.
• Minimum 1+ years related professional (Compliance and/or Legal) experience (Asset Management/Hedge Fund/Private Equity/ Fund Administration or similar)
• Intermediate to Advanced Microsoft Excel/PowerPoint skills are required.
• Effective oral and written communication skills and ability to listen effectively.