Global Finance Compliance Associate – MNPI & AML

Taylor Root; New York (NY); On-site; USD 110,000 - 150,000; Full time

Job summary

Taylor Root, a leading global investment firm in New York, seeks a Compliance Associate to join its NY Compliance team. This broad generalist role supports multiple areas of the business and collaborates with investment professionals and internal teams, offering exposure to a sophisticated investment environment.

Ideal candidates have about 3–6 years of compliance experience in financial services, with background in banks, hedge funds, private equity or asset managers.

Qualifications

• 3–6 years of compliance experience in the financial services industry.
• Experience at banks, hedge funds, private equity/private credit firms, traditional asset managers, or other financial institutions is preferred.
• Strong written and verbal communication skills are essential.

Responsibilities

• Monitor matters involving material non-public information (MNPI) and restricted list implications.
• Develop familiarity with a broad range of investment strategies, funds, and related guidelines.
• Work directly with investment professionals on compliance-related matters.
• Support AML/KYC processes and requirements.
• Conduct routine, targeted, and ad hoc compliance testing and surveillance.
• Assist with general regulatory and investment management compliance matters.
• Support the broader Compliance team on various projects and initiatives.
• Handle additional compliance responsibilities as needed.

Skills

Communication skills

Compliance experience

Financial services knowledge

Job description

Taylor Root, a leading global investment firm in New York, seeks a Compliance Associate to join its NY Compliance team. This broad generalist role supports multiple areas of the business and collaborates with investment professionals and internal teams, offering exposure to a sophisticated investment environment.

Ideal candidates have about 3–6 years of compliance experience in financial services, with background in banks, hedge funds, private equity or asset managers.