Role & Company Overview
📋 Role Overview & Responsibilities
Our client is seeking a dedicated and enthusiastic Compliance Associate to join their team. This role offers an excellent opportunity for a motivated compliance professional to expand their knowledge about private funds and investment adviser compliance. The successful candidate will work closely with the firm’s Compliance Officer, supporting the firm's compliance program. This position is based in New York City.
What You'll Do
As a Compliance Associate, you will play a crucial role in supporting our client's robust compliance program. You will be entrusted with administering and maintaining the firm's Code of Ethics, ensuring its adherence across all levels. Your responsibilities will also include updating the firm's compliance manual, managing regulatory filings, overseeing various compliance tests, and handling new hire onboarding tasks related to compliance. Your ability to liaise effectively with various groups within the firm will be key to your success in this role.
- Support the Compliance Officer with day-to-day activities and monitoring of the firm’s compliance programAdminister and maintain the firm’s Code of EthicsReview and assess for any potential conflicts or violations of firm’s Code of Ethics on an ongoing basisAssist with updating the firm's compliance manual and regulatory filingsOwn the administration and maintenance of the firm’s restricted listFacilitate conducting various compliance testing and provide oversightAssist in implementing and administering the ongoing oversight of the compliance program as required by Rule 206(4) - 7 of the Investment Advisers Act of 1940.
- Support compliance training programs and initiatives.
- Assist with regulatory filings, including Form ADV, Form PF, Form 13F and Form 13H.Support the Compliance Team with the firm's annual compliance review and/or mock SEC examsMaintenance and organization of the firm’s compliance books and records
What Sets This Company Apart
Our client is a global investment firm leading the transition to a sustainable future. They bring together entrepreneurs and some of the world's most forward-looking energy and industrial companies to advance innovation.
Frequently Asked Questions
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Is this position eligible for remote work or visa sponsorship? ▼
This position is located in New York, NY with potential relocation and sponsorship assistance depending on candidate qualifications.
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