Our client, an established investment management firm is seeking a Compliance Associate to join its compliance team.
Have you got what it takes to succeed The following information should be read carefully by all candidates.
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. xhqgsiq
• 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 at Unknown Company
This position is listed as contract and able to be worked remotely.