Hands-On Part-Time Compliance Associate

Trustpoint.One; Greenwich (CT); On-site; USD 55,000 - 83,000; Part time

Job summary

Trustpoint.One is seeking a detail-oriented Compliance Associate to support the firm’s compliance program and ensure adherence to regulatory requirements, internal policies, and industry best practices. This part-time role collaborates with Legal, Compliance, HR, IT, Cyber, and business teams across a broad spectrum of activities.

The ideal candidate will manage multiple priorities, handle confidential information, exercise sound judgment, and work independently in a fast-paced investment

Qualifications

• Bachelor's degree required; relevant compliance, legal, business, finance, or regulatory experience preferred.
• 3+ years of compliance, legal, regulatory, or related experience
• Working knowledge of investment management compliance concepts, including KYC/AML, MNPI, employee trading, gifts and entertainment, political contributions, and outside business activities.
• Experience with compliance testing, monitoring, certifications, and regulatory filings.
• Strong written and verbal communication skills, with the ability to communicate compliance requirements clearly to employees and business partners.
• Excellent organizational skills and attention to detail, with the ability to manage multiple deadlines and priorities.
• Strong judgment and discretion when handling confidential and sensitive information.
• Ability to collaborate effectively with Legal, HR, IT, Cybersecurity, and other internal stakeholders.
• Proficiency with Microsoft Office and compliance monitoring or workflow systems.

Responsibilities

• Administer and enforce requirements under the firm's Code of Ethics, Compliance Manual, and Employee Handbook.
• Review marketing materials, operational due diligence requests, and investor KYC/AML documentation for compliance with firm policies and applicable requirements.
• Partner with IT and Cybersecurity teams to review, approve, implement, and oversee IT and cybersecurity policies and related compliance programs.
• Manage the NDA process, including negotiating terms, coordinating with bankers and counterparties, advising employees on the handling of confidential information, and maintaining the NDA database.
• Support HR and IT with employee onboarding and offboarding processes from a compliance perspective.
• Administer initial compliance training for new employees and educate personnel regarding key compliance issues, including MNPI, political contributions, outside business activities, gifts and entertainment, and employee trading.
• Conduct quarterly compliance testing related to electronic communications, employee trades, gifts and entertainment, and other compliance controls.
• Prepare corporate resolutions and consents and assist with general entity management and governance activities.
• Prepare and coordinate regulatory and state filings, including Blue Sky, BOI, and California lobbying filings.
• Coordinate preparation for mock regulatory examinations, including gathering materials, reviewing documentation, and administering the mock exam process.
• Develop and oversee vendor due diligence processes, including ongoing monitoring and documentation.
• Implement and administer compliance certifications and attestations, including initial, quarterly, and annual requirements, through the firm's compliance monitoring system.
• Maintain accurate compliance records, databases, and supporting documentation.
• Assist with special compliance, regulatory, and operational projects as needed.

Skills

KYC/AML

MNPI

NDA management

Vendor due diligence

Compliance testing

Regulatory filings

Communication skills

Microsoft Office

Education

Bachelor's degree

Tools

Compliance monitoring systems

Job description

Trustpoint.One is seeking a detail-oriented Compliance Associate to support the firm’s compliance program and ensure adherence to regulatory requirements, internal policies, and industry best practices. This part-time role collaborates with Legal, Compliance, HR, IT, Cyber, and business teams across a broad spectrum of activities.

The ideal candidate will manage multiple priorities, handle confidential information, exercise sound judgment, and work independently in a fast-paced investment