Regulatory Compliance Associate

Larson Maddox; New York (NY); On-site; USD 85,000 - 125,000; Full time

Benefits offered by this job

Discretionary annual bonus

Health & retirement benefits

Job summary

Larson Maddox represents a leading global investment management firm seeking a Regulatory Compliance Associate to support regulatory, compliance, fund governance and oversight initiatives across wealth management and private markets products.

You will collaborate with legal, operations, finance, client service and distribution teams on regulatory filings, disclosures and governance matters; perform compliance testing and monitoring; review vendor oversight and due diligence processes; and help

Qualifications

• Bachelor's degree required.
• 3–7 years of experience in compliance, legal, audit, risk, fund administration or related control function.
• Experience in asset management, wealth management or financial services preferred.
• Familiarity with investment adviser, fund and securities regulations beneficial.
• Exposure to AML, regulatory reporting or operational risk programs is helpful.
• Strong written and verbal communication abilities.

Responsibilities

• Develop, implement, and enhance compliance policies, procedures, and internal controls.
• Oversee third-party service providers, fund administrators and key vendors.
• Conduct compliance testing, monitoring and periodic reviews of activities and controls.
• Participate in intermediary due diligence and ongoing oversight processes.
• Support AML-related reviews and service provider monitoring initiatives.
• Review marketing and investor materials for regulatory compliance.
• Assist with regulatory filings, certifications and disclosures.
• Respond to due diligence questionnaires, RFPs and investor inquiries.
• Collaborate with legal, operations, finance, client service and distribution teams on regulatory initiatives.
• Monitor regulatory developments and implement new requirements across the platform.

Skills

Analytical skills

Organizational skills

Problem-solving

Written & verbal communication

Multi-tasking

Attention to detail

Collaborative approach

Professional judgment

Education

Bachelor's degree

Job description

Our client, a leading global investment management firm, is seeking a Regulatory Compliance Associate to join its growing wealth and private markets platform. This individual will play a key role in supporting regulatory, compliance, fund governance, and oversight initiatives across a diverse range of investment products distributed through wealth management and intermediary channels.

This opportunity offers broad exposure to compliance, fund operations, distribution oversight, regulatory filings, and cross-functional projects within a highly collaborative and growth-oriented environment.

Key Responsibilities

• Support the development, implementation, and enhancement of compliance policies, procedures, and internal controls.
• Assist with regulatory oversight of third-party service providers, fund administrators, and other key vendors.
• Conduct compliance testing, monitoring, and periodic reviews of business activities and controls.
• Participate in intermediary due diligence and ongoing oversight processes.
• Support AML-related reviews and service provider monitoring initiatives.
• Review marketing and investor-facing materials for compliance with applicable regulations and internal guidelines.
• Assist with regulatory filings, certifications, disclosures, and governance-related matters.
• Respond to due diligence questionnaires, RFPs, investor requests, and compliance-related inquiries.
• Partner with legal, operations, finance, client service, and distribution teams on regulatory and business initiatives.
• Monitor regulatory developments and assist with implementing new requirements across the platform.

Qualifications

• Bachelor's degree required.
• Approximately 3-7 years of experience within compliance, legal, audit, risk, fund administration, or a related control function.
• Prior experience within asset management, wealth management, alternative investments, banking, or broader financial services is preferred.
• Familiarity with investment adviser, fund, securities, or financial regulations is a plus.
• Exposure to AML, compliance testing, regulatory reporting, or operational risk programs is beneficial.
• Strong analytical, organizational, and problem-solving skills.
• Excellent written and verbal communication abilities.
• Ability to manage multiple priorities and work effectively in a fast-paced environment.
• Detail-oriented with a collaborative approach and strong professional judgment.
• Discretionary annual bonus opportunity
• Comprehensive benefits package, including health coverage, retirement benefits, and paid time off