Global Compliance Associate — Investment Advisory

CIFC Asset Management; New York (NY); On-site; USD 110,000 - 140,000; Full time

Job summary

CIFC Asset Management is seeking a Compliance Associate to support the global compliance program, focusing on regulatory filings, reviews, and examination support. The role requires 3–5 years of SEC experience and a proactive, detail‑oriented, collaborative approach across business functions.

The successful candidate will engage with the Chief Compliance Officer and Legal teams, handling filings, disclosures, and policy implementations while contributing to a strong control environment in a

Qualifications

• Three to five years of compliance experience at an SEC-registered investment adviser or compliance consulting firm.
• Highly detail-oriented, organized, and entrepreneurial - a problem solver.
• Comfortable working in a fast-paced environment with constantly shifting priorities.
• Self-starter who is able to work independently and as part of a collaborative team.
• Strong written and verbal communication skills.
• Professional judgment, discretion, and a collaborative, team-first mindset.

Responsibilities

• Manage incoming KYC requests from trading counterparties and service providers.
• Conduct quarterly compliance reviews, including testing, documentation, and issue tracking.
• Review marketing materials and disclosures for regulatory compliance requirements.
• Support responses to investor due diligence questionnaires and information requests.
• Support the implementation of policies and procedures related to private information and monitoring.
• Assist with oversight of the firm’s code of ethics and with regulatory filings.
• Assist with SEC examinations preparation, including document collection and issue tracking.
• Serve as a practical, solution-oriented compliance partner to investment, operations, legal, and investor relations teams.

Skills

Attention to detail

Written & verbal communication

Independent worker

Collaborative team player

Problem solving

Entrepreneurial mindset

Adaptability

Job description

CIFC Asset Management is seeking a Compliance Associate to support the global compliance program, focusing on regulatory filings, reviews, and examination support. The role requires 3–5 years of SEC experience and a proactive, detail‑oriented, collaborative approach across business functions.

The successful candidate will engage with the Chief Compliance Officer and Legal teams, handling filings, disclosures, and policy implementations while contributing to a strong control environment in a