Strategic Compliance Associate: Regulatory & Policy Impact

Coda Search; New York (NY); On-site; USD 90,000 - 130,000; Full time

Job summary

Coda Search is seeking an Associate to join a global Compliance Team within a leading Asset Management client in New York. You will work closely with Legal, Compliance, and Regulatory teams at a highly visible level, interfacing with CCO, Legal/GC, and senior finance executives.

Responsibilities include regulatory filings, testing surveillance, and process improvements to drive efficiency across the group. Strong data analysis, communication, and Excel/PowerPoint skills are essential.

Qualifications

• Bachelor’s degree from an accredited college or university.
• Candidate will have demonstrated ability to analyze data and present findings to managerial personnel.
• 1+ years of experience in compliance, legal, regulatory advisory, risk management, project coordination, or related financial services role preferred.
• Minimum 1+ years related professional (Compliance and/or Legal) experience (Asset Management/Hedge Fund/Private Equity) or similar.
• Intermediate to Advanced Microsoft Excel/PowerPoint skills are required.
• Effective oral and written communication skills and ability to listen effectively.

Responsibilities

• Oversee new initiatives targeting maintenance of laws, rules and regulations to support Corporate Compliance.
• Aid Chief Compliance Officer with process improvement and policy changes.
• Prepare regulatory/governance filings and collaborate with Head of compliance.
• Monitor compliance testing and surveillance.
• Assist in researching and responding to regulator inquiries.
• Review personal trading activities for compliance with regulations and Code of Ethics.
• Prepare investment-related presentations for senior management and principals.
• Identify opportunities to centralize and optimize processes to improve performance.
• Assist with special projects as requested.

Skills

Data analysis

Oral and written communication

Regulatory awareness

Analytical mindset

Presentation of findings

Education

Bachelor’s degree

Tools

Microsoft Excel

PowerPoint

Job description

Coda Search is seeking an Associate to join a global Compliance Team within a leading Asset Management client in New York. You will work closely with Legal, Compliance, and Regulatory teams at a highly visible level, interfacing with CCO, Legal/GC, and senior finance executives.

Responsibilities include regulatory filings, testing surveillance, and process improvements to drive efficiency across the group. Strong data analysis, communication, and Excel/PowerPoint skills are essential.