Compliance Associate

An Investment Management Firm based in New York City is seeking an experienced professional to join their team as a Compliance Associate.

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Responsibilities:

• Support the firm’s compliance program by maintaining policies, procedures, documentation, and employee certifications.
• Review employee disclosures and activities, including personal investments, outside business interests, and gifts and entertainment, escalating potential concerns as appropriate.
• Conduct compliance reviews and testing to assess adherence to internal policies and applicable regulatory requirements.
• Monitor investment activity, investigate exceptions, and coordinate with internal teams to resolve outstanding issues.
• Help strengthen compliance controls, improve monitoring processes, and maintain accurate records of reviews and findings.
• Assist with updating compliance manuals, supervisory procedures, and departmental guidance.
• Prepare and maintain regulatory filings and disclosures in coordination with compliance leadership.
• Track regulatory developments and support updates to policies, procedures, and business practices.
• Coordinate employee training and monitor completion of required certifications and continuing education.
• Perform other duties, as needed.

Qualifications:

• Bachelor’s degree in Finance, Business, Accounting, or a related field.
• 3–5+ years of compliance experience within financial services, investment management, or a related regulated environment.
• Relevant securities licenses preferred; ability to obtain required registrations within the established timeframe.
• Experience with compliance monitoring systems, surveillance tools, or employee disclosure platforms.
• Working knowledge of financial services regulations, compliance testing, employee conduct policies, and regulatory reporting.
• Strong analytical and problem-solving skills, with the ability to investigate issues and document findings clearly.
• Strong writing skills and experience preparing or maintaining policies, procedures, and compliance materials.