Compliance Associate
Job Overview - Compliance Associate :
Apply (by clicking the relevant button) after checking through all the related job information below.
We are seeking a Compliance Associate with 2-5 years of generalist compliance experience (hedge fund, private equity (PE), or asset management firm experience required).
The ideal candidate will help streamline the firm's core compliance functions and handle compliance tracking and testing to meet regulatory requirements.
This role offers the chance to join an entrepreneurial organization and contribute directly to its growth.
Location : Greenwich, Connecticut
Compensation : $125K - $175K total yearly compensation
Responsibilities as the Compliance Associate :
- Regulatory Filings & Compliance Management : Facilitate filings such as ADV, Form D, 13F / G / H, and Form PF, oversee annual mock SEC exams and internal / external communications reviews.
- Training & Policy Updates : Manage compliance training and onboarding for new hires, update the Compliance Manual and policies annually.
- Code of Ethics & Preclearances : Ensure compliance with the firm's Code of Ethics, including preclearance and certification processes using the firm’s platform.
- Expert Networks & Regulatory Research : Approve and monitor expert network calls, conduct research on regulatory changes impacting the investment management sector.
- Compliance Tracking & Reviews : Track and manage compliance areas including proxy voting, best execution, NDA tracker, ESG reporting, and marketing materials, assist with DDQs, investor due diligence, and operational due diligence (ODD).
- Valuation & Disaster Recovery : Prepare Valuation Committee minutes and quarterly valuation reports, collaborate with IT to manage business continuity and disaster recovery testing.
- Vendor Due Diligence : Oversee the annual vendor due diligence process.
Qualifications for the Compliance Associate :
- Education : Bachelor’s degree in Business, Accounting, Finance, or related field; JD or LLM / MLS in corporate compliance preferred.
- Experience : Five or more years of experience in a financial institution (e.g., broker / dealer, registered investment adviser).
- Skills : Knowledge of the Investment Advisers Act of 1940, strong written and verbal communication skills adaptable to various audiences, excellent project and time management skills.
- Software : Excellent Excel skills.
Application Notice :
Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.
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