Compliance Associate

Job Description

About the Role

Our client, a rapidly growing asset management firm based in New York, is seeking a Compliance Associate to join its compliance team. This is a great opportunity for an early-career professional to build a strong foundation across a broad compliance program, with hands-on training and room to grow.

Responsibilities

• Conduct frontline review of marketing materials, including pitch decks and advertisements, for compliance with the SEC Marketing Rule
• Support trade operations and assist with the preparation of regulatory filings
• Administer the firm’s code of ethics, including personal trading, gifts and entertainment, and political contribution reporting
• Assist with the maintenance and updating of compliance policies and procedures
• Support vendor onboarding and related due diligence
• Partner with internal teams to address day-to-day compliance questions

Qualifications

• Bachelor’s degree required
• 1–2 years of compliance experience at an asset manager or compliance consulting firm
• Exposure to the Investment Advisers Act and marketing review experience strongly preferred
• Experience with ComplySci or similar compliance systems a plus
• Highly organized and detail-oriented, with strong written and verbal communication skills
• Eager to learn and grow within a collaborative team environment