Compliance Associate: Trade Surveillance & Growth (Asset Mgmt)

Pelham Berkeley Search; Greenwich (CT); On-site; USD 70,000 - 95,000; Full time

Job summary

Pelham Berkeley Search is recruiting for a Compliance Associate at a high-end fund in Greenwich, CT. You will support pre- and post-trade compliance, monitoring of portfolios, and regulatory reporting in a collaborative, fast-paced team.

The role offers extensive training and exposure to investment compliance, trading, and firm-wide controls within a global asset manager. Strong communication and attention to detail are essential.

Qualifications

• Completed Bachelor’s degree with 1-3+ years of Compliance experience, preferably in Investment Management or with a Consulting Firm that services Investment Managers.
• Familiarity with EZE Compliance, ComplySci, Bloomberg, Refinitiv World Check is strongly preferred.
• Extensive Compliance experience related to Equities and/or Global Equities.
• Strong written and verbal communication skills with the ability to collaborate across investment, trading, operations and other teams.
• Excellent attention to detail while meeting tight timelines and deadlines.
• Proactive, organized and accountable with discretion when handling sensitive information.
• Ability to prioritize and manage multiple tasks in a fast-paced environment.
• Hard-working, driven, and collaborative with strong problem-solving and strategic thinking.

Responsibilities

• Pre- and post-trade investment compliance monitoring.
• Compliance program monitoring and testing.
• Code of ethics monitoring.
• Preparation of regulatory filings (13F, ADV, Form PF).
• Ad hoc projects and reviews.
• Support for onboarding in compliance systems (e.g., ComplySci).
• Collaborate with portfolio managers and traders to identify and resolve compliance matters.
• Support regulatory filings and reporting (13F, 13H, ADV, PF) and SOC-related activities.
• Assist with quarterly billing for separately managed accounts and responses to DDQs.

Skills

Detail-oriented

Organized

Strong written and verbalcommunication

Team collaboration

Proactive

Problem solving

Ability to work under tight deadlines

Education

Bachelor's degree

Tools

EZE Compliance

ComplySci

Bloomberg

Refinitiv World-Check

Job description

Pelham Berkeley Search is recruiting for a Compliance Associate at a high-end fund in Greenwich, CT. You will support pre- and post-trade compliance, monitoring of portfolios, and regulatory reporting in a collaborative, fast-paced team.

The role offers extensive training and exposure to investment compliance, trading, and firm-wide controls within a global asset manager. Strong communication and attention to detail are essential.