Compliance Associate - Global Investments (A+ Mentorship)
Origin Staffing
We are working on a confidential search for a Compliance Associate to join the compliance team of a well-established asset manager.
This is a great opportunity for someone with compliance, audit, legal, public accounting, or related experience who wants to build a career in investment management compliance. The firm is a registered investment adviser, so the role will offer exposure to SEC compliance, internal policies and procedures, regulatory filings, compliance testing, employee certifications, and cross-functional projects across the business.
The team is collaborative, professional, and highly visible within the firm. This person will report to a Compliance Manager, with additional exposure to the CCO, and will work closely with colleagues across investor relations, accounting, technology, operations, legal, and other internal groups.
Highlights
- Opportunity to join an established real estate investment management platform with a long track record across core, core-plus, value-add, and separate/advisory account strategies.
- Role will support the firmâs broader compliance program, including policies and procedures, compliance monitoring, testing, regulatory filings, employee certifications, and internal compliance initiatives.
- Exposure to regulatory filings and requests such as Form ADV, Form PF, Form SHL, Form SLT, and related compliance deliverables.
- Hands-on involvement with the firmâs compliance software platform, including areas such as personal trading, gifts and entertainment, outside business activity, political contributions, and periodic certifications.
- Great opportunity for someone familiar with, or interested in learning more about, the Investment Advisers Act of 1940 and the regulatory environment for registered investment advisers.
- Regulatory exposure to SEC, FINRA, CFTC/NFA, ERISA, private funds, or investment adviser compliance is a plus, but not required.
- Compensation includes a competitive base salary depending on experience, 10%+ target annual bonus, profit sharing, 100% company-paid medical/dental/vision premiums, additional healthcare reimbursement support, complimentary MBTA pass, parental leave, long-term disability, life insurance, and other strong benefits
Vacancy posted 17 days ago
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