Compliance Associate

New York, New York • $80,000-$95,000

About the Company:

Our client is an alternative investment firm with $8 billion in AUM with offices in London and throughout the US. They are seeking a Compliance Associate to join their Compliance team in New York.

 

Responsibilities:

  • Assist with all aspects of a compliance program centered on regulatory requirements instituted by the Securities and Exchange Commission and the Commodities Futures Trading Commission
  • Assist with the Compliance Department’s monitoring and testing program, which would include identifying potential areas of deficient internal controls, violations of company policies and procedures, and non-compliance with various U.S. and international regulatory requirements
  • Manage the Compliance Department’s internal applications, such as its electronic communications, personal trade, and information repository tools, among others

 

Requirements:

  • Bachelor’s degree required
  • Prior professional experience required
  • Experience with forensic audit/policy with an accounting background
  • Must possess strong attention to detail, excellent communication skills, and have a high degree of discretion

 

 

 

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