Compliance Associate
$47.00 per hour
Apply (opens in a new tab)Compliance Associate
Posted 9 days ago
SENIORITY
Senior
SALARY
$47.00 per hour
About the role
- Manage incoming KYC requests from trading counterparties and service providers
- Conduct quarterly compliance reviews, including testing, documentation, and issue tracking
- Review marketing materials and disclosures for regulatory compliance requirements
- Support responses to investor due diligence questionnaires and information requests
- Support the implementation of various policies and procedures related to private information (i.e., updating databases and monitoring expert network calls)
- Assist with oversight of the firm’s code of ethics (i.e., personal trading, and gifts & entertainment)
- Assist with regulatory filings
- Assist with firm preparation for SEC examinations, including document collection, production, and issue tracking
- Serve as a practical, solution-oriented compliance partner to investment, operations, legal, and investor relations teams
- Qualifications & Experience
- Bachelor’s degree required
- Three to five years of compliance experience at an SEC-registered investment adviser or compliance consulting firm
- Highly detail-oriented, organized, and entrepreneurial - a problem solver
- Comfortable working in a fast-paced environment with constantly shifting priorities
- Self-starter who is able to work independently and as part of a collaborative team
- Strong written and verbal communication skills
- Professional judgment, discretion, and a collaborative, team-first mindset
- Reporting Relationship
- Reports directly to the Chief Compliance Officer and serves as a key day-to-day partner and trusted compliance resource across the firm
Before you apply
Applying takes about a minute. These four things decide how fast it moves after that.
Your profile is current
It's what we read first. Occupations, seniority and locations matter more than a long history.
Two examples you can talk through
Not a portfolio — just two pieces of work where you can explain the decisions and what you'd change.
A number in mind
What you're on now and what would make you move. We negotiate better when we know both.
Your notice period
Employers plan around it, and it's the question that stalls offers most often.
Once you apply, someone reads it and calls you before anything reaches the employer — usually within two working days.
