Compliance Associate - Asset Management
arrow search partnersGlens Falls (NY)
Compliance Associate - Asset Management
Posted 3 days ago
arrow search partnersGlens Falls (NY)
SENIORITY
Mid
About the role
Our client, a prominent asset manager, is looking to hire a Compliance Associate to their team to support generalist compliance responsibilities
Key Responsibilities:
- Support regulatory governance filings such as Form ADV, PF, etc.
- Conduct compliance testing.
- Administer compliance training and update materials to address material changes within the organization.
- Support AML, KYC, and OFAC initiatives across the organization.
- Respond to regulatory inquiries and facilitate regulatory examinations.
- Develop policies & procedures and update the Compliance Manual.
- Marketing material review
Requirements: Bachelor's Degree 2-8 years of compliance experience at an asset management 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.