Registered Funds Compliance Lead - Autonomy & Impact

Cardea Group; New York (NY); On-site; USD 120,000 - 175,000; Full time

Job summary

A leading diversified asset management firm in New York is seeking a Senior Compliance Associate. This role involves serving as the primary compliance specialist for registered fund matters and requires 3–6 years of experience in compliance within investment management. Candidates should have strong knowledge of the Investment Company Act, excellent communication skills, and proficiency in compliance tools. The position offers a competitive compensation package, including a base salary of $120-175K plus bonuses and cross-functional exposure.

Qualifications

• 3–6 years of compliance experience within investment adviser or regulatory environments.
• Strong working knowledge of compliance requirements.
• Ability to manage regulatory processes independently.

Responsibilities

• Serve as primary compliance point for registered fund matters.
• Conduct ongoing portfolio and trade surveillance for compliance.
• Review trade restrictions and escalate items as needed.
• Enhance compliance monitoring systems and workflows.
• Assist with regulatory filings, including registration statements.
• Support responses to regulatory exams and audits.
• Maintain compliance policies and track regulatory developments.
• Partner with various teams to ensure compliance standards.

Skills

Compliance experience

Investment Company Act knowledge

Analytical skills

Organizational skills

Verbal communication

Written communication

Data proficiency

Tools

Excel

Compliance monitoring tools

Job description

A leading diversified asset management firm in New York is seeking a Senior Compliance Associate. This role involves serving as the primary compliance specialist for registered fund matters and requires 3–6 years of experience in compliance within investment management. Candidates should have strong knowledge of the Investment Company Act, excellent communication skills, and proficiency in compliance tools. The position offers a competitive compensation package, including a base salary of $120-175K plus bonuses and cross-functional exposure.