Compliance Associate

Compliance Associate – Code of Ethics

Location: New York, NY

Industry: Alternative Investment Management

Function: Legal & Compliance

Level: Associate

The Opportunity

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

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

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.

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.

Key Responsibilities

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

Candidate Profile

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

What the Role Offers

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.

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