Global Compliance Associate: Regulatory & Risk

Coda Search│Staffing; New York (NY); On-site; USD 70,000 - 110,000; Full time

Job summary

Coda Search│Staffing is seeking an Associate to join a growing global Compliance Team. The role involves close collaboration with Legal, Compliance, and department heads, including the CCO, Legal/GC, CFO, and COO, in a highly visible position.

Key duties include supporting regulatory filings, monitoring compliance tests, and preparing presentations for senior leadership. The ideal candidate will bring 1+ years in compliance or related fields and strong data analysis abilities.

Qualifications

• Bachelor’s degree required.
• Ability to analyze data and present findings to managers.
• 1+ year in compliance, legal, regulatory advisory, risk management, or related financial services role.
• 1+ year of experience in Asset Management/Hedge Fund/PE/fund administration or similar.
• Excel and PowerPoint skills at an intermediate to advanced level.
• Strong oral and written communication skills.

Responsibilities

• Oversee initiatives maintaining laws, rules, and regulations to support Corporate Compliance.
• Assist CCO with process improvements and policy changes.
• Prepare regulatory/governance filings with compliance team.
• Monitor compliance testing and surveillance activities.
• Respond to regulator inquiries and regulator comments.
• Review and test personal trading for Code of Ethics compliance.
• Prepare investment-related presentations for senior management.
• Identify opportunities to centralize and optimize processes.
• Support special projects as needed.

Skills

Data analysis

Compliance

Regulatory

Project coordination

Communication

Education

Bachelor's degree

Tools

Excel

PowerPoint

Job description

Coda Search│Staffing is seeking an Associate to join a growing global Compliance Team. The role involves close collaboration with Legal, Compliance, and department heads, including the CCO, Legal/GC, CFO, and COO, in a highly visible position.

Key duties include supporting regulatory filings, monitoring compliance tests, and preparing presentations for senior leadership. The ideal candidate will bring 1+ years in compliance or related fields and strong data analysis abilities.