A leading global investment firm is seeking a Compliance Associate to join its New York-based Compliance team. This is a broad, generalist compliance role supporting multiple areas of the business and working closely with investment professionals and other internal teams.
The ideal candidate will have approximately 3–6 years of compliance experience within financial services. The firm is open to candidates coming from a variety of financial institutions, including banks, hedge funds, private equity firms, private credit firms, and traditional asset managers.
This is an excellent opportunity for someone who is looking for broad exposure within a sophisticated investment environment and who enjoys working in a fast-paced, business-facing role.
Responsibilities
- Monitor matters involving material non-public information (MNPI) and restricted list implications
- Develop familiarity with a broad range of investment strategies, funds, and related guidelines
- Work directly with investment professionals on compliance-related matters
- Support AML/KYC processes and requirements
- Conduct routine, targeted, and ad hoc compliance testing and surveillance
- Assist with general regulatory and investment management compliance matters
- Support the broader Compliance team on various projects and initiatives
- Handle additional compliance responsibilities as needed
Candidate Profile
- Bachelor’s degree required
- Approximately 3–6 years of compliance experience within the financial services industry
- Experience at a bank, hedge fund, private equity/private credit firm, traditional asset manager, or other relevant financial institution
- Strong written and verbal communication skills
Compliance Associate in New York at Taylor Root
This position is listed as full time and onsite. It was posted 3 days ago.