Compliance Associate (Investment Management)
$85k - $100kAtlantic Group
Job Overview – Compliance Associate (Investment Management): Compensation: $85,000 – $100,000/year + bonus Location: New York, NY Schedule: Monday to Friday (Hybrid) Atlantic Group is hiring a Compliance Associate (Investment Management) in New York, NY for our client, supporting employee compliance monitoring, regulatory filings, marketing reviews, and lobbying requirements. In this hybrid role, you will work with the CCO on personal trading oversight, electronic communications review, forensic testing, and SEC-focused workflows. Ideal candidates have experience in investment management or related environments with strong attention to detail and familiarity with Smarsh or similar tools. Responsibilities as the Compliance Associate (Investment Management): Monitoring & Oversight: Review electronic communications, preclear and monitor personal trading, political contributions, outside activities, and gifts & entertainment, including support for broker feed setup. Regulatory Filings & Reporting: Assist with Blue-Sky filings, Form PF, Form 13F, and other SEC, state, and regulatory reporting requirements. Lobbying & Registration Management: Coordinate registrations, renewals, and required filings for public pension‑related marketing and ensure employees consult Compliance before related activities. Testing, Exams & Marketing Review: Support forensic testing, annual reviews, mock SEC exams, and assist with reviewing marketing materials and DDQs for regulatory alignment. Governance, Operations & Projects: Maintain committee meeting minutes, chaperone expert network calls, support onboarding and broker counterparty requests, and contribute to special compliance projects. Qualifications for the Compliance Associate (Investment Management): Education: Bachelor’s degree in Finance, Economics, Business, Legal Studies, or a related field required. Experience: 1-2 years of compliance experience in investment management or related industries with exposure to personal trading oversight, regulatory filings, or monitoring tools. Technical Skills: Experience with compliance platforms and electronic communication review tools such as Smarsh, with strong proficiency in Microsoft Office. Industry Knowledge: Understanding of SEC regulations, advisory compliance, personal trading rules, marketing reviews, and investment management operations. Skills & Attributes: Highly organized, detail‑oriented self‑starter with strong analytical and communication skills who can manage competing priorities in a fast‑paced environment. Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion. #J-18808-Ljbffr Atlantic Group
$100k - $140k
Financial Crime Compliance Associate Corporate Title: Associate Department: Compliance Location: New York Base Pay Range... ...divisions: Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. Founded in 1925, Nomura is built on a tradition...SuggestedRelocation package$119k - $218.3k
...Assets practice combines risk management, advanced regulatory... ...up-to-date perspectives on compliance obligations and industry best... ...asset lifecycle events, and associated process flows.Deep understanding... ...as well as through our own investments, commitments, and actions across...SuggestedWork at office- Indigo Beam, LLC is seeking a consultant with a strong infrastructure background to assist with software license and subscription management. This role involves creating visibility into software assets while identifying optimization opportunities. The consultant will...Suggested
- A top-tier investment management firm is looking for a full-time Compliance Analyst in New York City. The ideal candidate will have a Bachelor's Degree and 1-3 years of experience in compliance, including experience within an Investment or Asset Manager. Key responsibilities...SuggestedFull time
$163k - $204k
Position Summary: AIG’s Investments group is responsible for managing the investment assets of AIG, including affiliated insurance companies, through internal and external managers. The Investments Compliance team provides compliance and regulatory support to AIG’s Investments...SuggestedFull timeWork at office$85k - $140k
...prevents, detects and mitigates compliance, regulatory and reputational... ...-wide compliance risk management program. As an independent control... ...are seeking a compliance Associate to join the AM Compliance... ...teams on portfolio management, investing and lending activities,...Full timeTemporary workPart time- Global Compliance Our division prevents, detects and mitigates compliance, regulatory and... ...firm’s enterprise-wide compliance risk management program. As an independent control... ...Founded in 1869, we are a leading global investment banking, securities and investment management...Work at office
- Dynamics Executive Search seeks a detail-oriented Compliance Associate to support investment and employee compliance in a dynamic financial services environment... ...and is eager to develop expertise across investment management, broker-dealer, and employee compliance. This role...
- The Goldman Sachs Group in New York is seeking a Compliance Associate for Asset Management (AM) Compliance to support ERISA regulatory audits and regulatory requirements across multiple business lines. You will work with AM's Portfolio Management teams, Sales, Finance,...
- ...of our highly reputable Alternative Asset Management clients currently seeking to add an Associate to their growing global Compliance Team. Ideal candidate will be working... ...regulations and the Code of Ethics Preparing investment related presentations for senior...
$120k - $175k
Senior Compliance Associate, Registered Funds (New York, NY): Our client, a leading diversified asset management firm with over $50B in AUM, is seeking a high-caliber Compliance Associate... .... The firm oversees a broad suite of investment products across private funds,...$100k - $145k
A full-service investment bank and asset management firm focusing on technology and healthcare growth, is currently looking to hire a Compliance Associate with 1 - 5 years of compliance experience within the asset management, mutual fund or hedge fund industry. The Compliance...Full timeCurrently hiringRemote workFlexible hours- 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... ...stable assets and has diverse and interesting investment strategies Opportunity for the role to expand...Full time
$100k - $155k
Overview Position: Compliance Associate. Overview: A top Investment Management firm in NYC is searching for a Compliance Associate. Must have: College degree plus 3-5+ years of Financial Services Industry / Compliance experience. Specifically - at least some of those years...Full time$40 - $60 per hour
Company Overview A leading global investment firm with nearly $300 billion in assets under management is seeking an Associate to join its Real Estate Legal & Compliance team. This role offers the opportunity to work with experienced corporate attorneys and gain insight...Work experience placementWork at office$100k - $155k
A prominent Investment Management firm in NYC is seeking a Compliance Associate. The ideal candidate will possess 3-5+ years of experience in Financial Services Compliance, specifically with Advertising & Marketing materials. Required qualifications include a college degree...Full time$100k - $135k
Overview Compliance Analyst/Associate (New York, NY): A leading private equity firm with more than $5B in assets under management is seeking a Compliance Analyst or Associate to join its team... ...documentation. Partner across investment, legal, and operations teams to uphold...Full timeContract workWork at office$200k - $220k
...financial sciences company, combining data analysis, invention, and rigorous inquiry to help solve the toughest challenges in investment management, insurance technology, securities, private equity, and venture capital. Our team of scientists, technologists, and academics...Casual workWork at officeLocal areaHome officeFlexible hours- Goldman Sachs is seeking an Associate for the Enterprise Compliance Office - Risk Management in New York. You will help drive the firm’s risk assessments, controls, and training programs across Compliance, Risk, and Engineering teams. You will lead meetings, manage stakeholder...Work at office
- ...demand for assurance services. Our team is seeking a Contract Compliance Senior Consultant with experience performing royalty audits, franchise... ...of franchisees and licensees’ compliance, financial and brand management, with the contractual obligations for all contract compliance...Full timeContract workWork at officeLocal area
$72k - $141k
...abilities of all employees are used to their fullest potential. The Compliance Senior Consultant is a strategic individual contributor role... ...ResponsibilitiesEngage in the full lifecycle of law change management, including intake of legislative and regulatory updates,...Full timeWork experience placementWork at office$165k - $275k
...join our team as a Regional Compliance Officer in WM Field Compliance... ...capacity with the Wealth Management Northeast Regional team and... ...Futures, Annuities, Structured Investments, Alternative Investments,... ...business practices typically associated with a broker-dealer (e.g. gifts...Temporary workWork experience placement$100k - $115k
...Global Partnership.William Blair is seeking to add a Compliance Analyst to its William Blair Investment Management (WBIM) dedicated compliance team. This dynamic... ...employee Code of Ethics questions and resolving associated exceptions. Participate in other projects, as needed...Temporary workWork at office- Insight Capital Solutions, LLC is seeking an organized Lease Operations Assistant to manage client folders, perform customer setup in systems, and audit commitment letters for compliance. The role supports the Lease Specialist with documentation and vendor onboarding...
- ...challenges of healthcare. About the Role Verse is looking for a Compliance Operations Associate to help keep our compliance program running smoothly day... ...desk work and hands-on facility work: you'll track and manage the ongoing pieces of our compliance program (policies,...Work at officeMonday to Friday
- Bank in Midtown, Manhattan is seeking a Compliance Operations Associate for a long‑term, temporary‑to‑permanent position! Responsibilities: Provide regular updates to Compliance Department management for external training opportunities Conduct the escalation process...Permanent employmentTemporary work
$75k - $95k
...across a range of alternative investment structures, including hedge... ...preparation, while ensuring compliance with applicable accounting... ...complex calculations, including management/incentive fees, carried... ...demands. Salary Range: Associate: $75,000 - $95,000 AVP: $1...Full timeWork at officeImmediate startFlexible hours3 days per weekDelta Capita
New York, NYmore than 2 months ago$130k
The VP, Compliance Officer will play a crucial role in offering real-time advice and guidance to the trading and sales teams, ensuring... ...submit candidates for a specific role. Direct contact with hiring managers or employees is strictly prohibited. Provide immediate...Temporary workWork at officeImmediate start$160k - $180k
Department: ComplianceDivision: Risk & Compliance DivisionTitle: Senior Compliance Manager and Privacy Officer Job SummaryProvide advice and guidance to the Chief Compliance Officer, senior management, and business lines regarding compliance with non-AML/BSA laws and regulations...Local area$104k - $177k
...role of Senior Vice President, Consumer Compliance Officer - Global Payments & Trade. to... ...network rules.In partnership with business managers and internal stakeholders, reviews new... ...we influence nearly 20% of the world’s investible assets. Every day, our teams harness...Temporary workWorldwideFlexible hours
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