Compliance Associate

Job Description

Compliance Associate – Code of Ethics

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Location: New York, NY

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Industry: Alternative Investment Management

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Function: Legal & Compliance

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Level: Associate

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The Opportunity

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A leading global investment firm is looking to add a Compliance Associate to its New York Legal & Compliance team.

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This is a broad-based compliance position with a particular focus on the firm’s Code of Ethics and employee compliance program.

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The successful candidate will work closely with members of the Legal & Compliance team and gain exposure to a range of regulatory and compliance matters within a sophisticated alternative investment management environment.

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The role would suit someone with 2–5 years of relevant compliance experience who has worked within an asset manager, hedge fund, private equity firm or similar investment management business.

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Key Responsibilities

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• Support the administration and ongoing monitoring of the firm’s Code of Ethics and employee compliance program.
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• Review and monitor employee Personal Account Dealing / Personal Trading activity, including pre-clearance requests and potential conflicts.
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• Monitor employee brokerage accounts, holdings and transaction reporting to ensure adherence to internal policies.
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• Maintain and review Restricted Lists and Watch Lists, including matters relating to Material Non-Public Information (MNPI).
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• Assist with the identification, escalation and documentation of potential Code of Ethics breaches, exceptions and policy violations.
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• Review employee political contributions and support compliance with applicable pay-to-play requirements and internal policies.
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• Coordinate periodic employee certifications, attestations and compliance disclosures.
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• Review and monitor employee outside business activities, conflicts of interest and other relevant disclosures.
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• Assist with compliance testing, monitoring and periodic reviews of internal policies and procedures.
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Candidate Profile

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• Approximately 2–5 years of relevant compliance experience within financial services.
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• Experience working within an asset manager, hedge fund, private equity firm or other investment management environment strongly preferred.
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• Practical experience with Code of Ethics and employee compliance matters, ideally including personal trading / Personal Account Dealing.
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• Familiarity with Restricted and Watch Lists, MNPI controls, employee brokerage accounts, political contributions and employee certifications/disclosures.
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• Experience identifying, reviewing and escalating compliance breaches or exceptions.
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• Understanding of the regulatory environment applicable to SEC-registered investment advisers is beneficial.
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• Comfortable handling sensitive and confidential information.
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• Able to work independently while collaborating closely with colleagues across Legal, Compliance and the wider business.
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What the Role Offers

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This is an opportunity to join the New York Legal & Compliance function of an established global investment firm and develop broader investment management compliance experience.

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The successful candidate will have significant exposure to the firm's Code of Ethics and employee compliance framework while also supporting wider regulatory, monitoring and compliance initiatives across the business.