Our client, an established investment management firm is seeking a Compliance Associate to join its compliance team.
This role offers broad exposure to registered funds, regulatory filings, governance, and marketing review.
Responsibilities
• Support contracts and agreements for U.S. and international funds and corporate entities.
• Assist with registration statements, prospectus updates, shareholder disclosures, and SEC filings, including Section 13 filings.
• Prepare Board materials, coordinate meeting agendas, and draft minutes.
• Review marketing materials, RFPs, and due diligence questionnaires.
• Help maintain compliance policies, procedures, and filing records.
• Research regulatory developments affecting investment advisers, mutual funds, and ETFs.
Qualifications
• 1–3 years of relevant experience, preferably supporting mutual funds or ETFs.
• Bachelor’s degree in finance, Business, Legal Studies, or a related field, or equivalent education and experience
• Knowledge of the Investment Company Act, Investment Advisers Act, and SEC/FINRA requirements.
About the opportunity:
- Compensation Range: $90,000 - $100,000 base salary + Bonus
- Work Module: Hybrid (3 days in the office, 2 days remote)
- Location: NYC
Compliance Associate in New York City Metropolitan Area at Alexander Chapman
This position is listed as contract and able to be worked remotely. It was posted 3 days ago.