Senior Compliance Associate

Cardea Group; New York (NY); On-site; USD 72,000 - 100,000; Full time

Benefits offered by this job

Medical insurance

Job summary

A leading financial services firm is seeking a Compliance Associate to join their Legal and Compliance team. This role involves overseeing the firm's compliance program, managing Code of Ethics policies, and supporting regulatory filings. Ideal candidates will have a Bachelor's degree and 2-4 years of relevant experience in compliance, with strong organizational skills and attention to detail. This is an exceptional opportunity to be part of a newly designed team within a reputable firm.

Qualifications

• 2-4 years of relevant regulatory compliance experience.
• Familiarity with the SEC’s Code of Ethics Rule.
• Strong problem-solving and decision-making abilities.

Responsibilities

• Administer the firm's Code of Ethics policies.
• Prepare SEC regulatory filings.
• Conduct compliance training for employees.

Skills

Problem-solving

Decision-making

Organizational skills

Attention to detail

Professionalism

Education

Bachelor’s degree

Job description

Compliance Associate (New York, NY): Our client, the asset management business (over $50B in assets across a variety of strategies) of a diversified financial services firm, is hiring skilled compliance professionals to join its Legal and Compliance team to help oversee the firm's compliance program. The firm is currently consolidating and reconfiguring their asset management business, so the Associate will play critical roles in this developing this compliance program. This is an exceptional opportunity for someone to be a part of one of the most exciting, large-scale funds in a newly designed team.

Key Points:

• Newly created role within a newly designed platform offering an invigorating work environment
• Firm has an outstanding reputation, stable assets and has diverse and interesting investment strategies
• Opportunity for the role to expand over time as the team develops

Responsibilities:

• Administer the firm's Code of Ethics policies and manage all facets of the firm's online Code of Ethics platform
• Address incoming investment team requests such as wall crosses, trade requests, conflict checks, ad other time sensitive items
• Support the internal compliance testing and surveillance program, as well as prepare regulatory reports and testing documentation
• Acquire a comprehensive understanding of the SEC Marketing Rule to assist in reviewing marketing materials, social media, and investor relations materials
• Prepare the timely and accurate submission of SEC regulatory filings (ADV and Form PF)
• Help draft policies and procedures while designing new compliance initiatives as the compliance landscape and business evolve
• Prepare for and address regulatory inquiries and examinations, as well as conduct ongoing compliance training for both employees and new hires
• Aid in the upkeep of the company's Code of Ethics policies, procedures, and training materials
• Assist with new employee onboarding related to compliance matters, including conducting training.
• Manage the records and documentation related to the Firm’s Code of Ethics, including maintaining the restricted list and logs of policy violations or exceptions
• Support additional compliance-related duties as required

Qualifications:

• Bachelor’s degree with 2-4 years of relevant regulatory compliance experience within an SEC-registered investment adviser organization or compliance consultant
• Familiarity with the SEC’s Code of Ethics Rule
• Exceptional professionalism; discretion in safeguarding confidential information; strong problem-solving and decision-making abilities
• Outstanding organizational skills and meticulous attention to detail
• Resourceful and capable of working independently; open to undertaking tasks of various scopes

Job Reference #2979397

Seniority level

• Seniority level

  Associate

Employment type

• Employment type

  Full-time

Job function

• Job function

  Management

• Industries

  Investment Management and Venture Capital and Private Equity Principals

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Inferred from the description for this job

Medical insurance

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