Senior Compliance Associate
Landing Point, New York, NY, United States
Our client, an established investment management firm, is seeking a Senior Compliance Associate to join its team. This hire will join a lean, collaborative compliance function and gain broad exposure across the compliance program while partnering with professionals across the organization.
This is an excellent opportunity for someone who wants to build a well‑rounded compliance skill set, work closely with experienced leadership, and grow within a high‑performing platform.
Highlights
Broad exposure across multiple areas of the compliance program Opportunity to work on a lean team with meaningful responsibility Strong mentorship from an experienced and supportive manager Established, high‑performing firm with a collaborative environment Responsibilities
Support day-to-day compliance responsibilities across the firm’s compliance program Assist with code of ethics administration, monitoring, and related controls Help maintain and enhance compliance policies and procedures Support the preparation of regulatory filings and other compliance documentation Advise internal stakeholders on compliance matters relating to investment adviser regulation, marketing, expense allocations, and related topics Monitor regulatory developments and help ensure the firm’s policies and practices remain current Assist with compliance training and the development of annual training materials Perform ongoing surveillance, testing, and monitoring activities Support oversight of third‑party service providers and related compliance processes Partner with senior compliance leadership on special projects and broader regulatory initiatives Assist with recordkeeping, data management, and other compliance‑related administrative tasks as needed Qualifications
Approximately 4-7 years of relevant experience in financial services compliance or a related field Experience within an investment manager, consulting firm, audit environment, or other relevant financial services setting preferred Exposure to private funds, registered investment adviser compliance, or related regulatory frameworks is a plus Experience drafting or updating policies and procedures is a plus Familiarity with regulatory filings and compliance testing is helpful Strong project management, organizational, and execution skills Excellent judgment, attention to detail, and written communication skills Team‑oriented mindset with the ability to work effectively across functions
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Broad exposure across multiple areas of the compliance program Opportunity to work on a lean team with meaningful responsibility Strong mentorship from an experienced and supportive manager Established, high‑performing firm with a collaborative environment Responsibilities
Support day-to-day compliance responsibilities across the firm’s compliance program Assist with code of ethics administration, monitoring, and related controls Help maintain and enhance compliance policies and procedures Support the preparation of regulatory filings and other compliance documentation Advise internal stakeholders on compliance matters relating to investment adviser regulation, marketing, expense allocations, and related topics Monitor regulatory developments and help ensure the firm’s policies and practices remain current Assist with compliance training and the development of annual training materials Perform ongoing surveillance, testing, and monitoring activities Support oversight of third‑party service providers and related compliance processes Partner with senior compliance leadership on special projects and broader regulatory initiatives Assist with recordkeeping, data management, and other compliance‑related administrative tasks as needed Qualifications
Approximately 4-7 years of relevant experience in financial services compliance or a related field Experience within an investment manager, consulting firm, audit environment, or other relevant financial services setting preferred Exposure to private funds, registered investment adviser compliance, or related regulatory frameworks is a plus Experience drafting or updating policies and procedures is a plus Familiarity with regulatory filings and compliance testing is helpful Strong project management, organizational, and execution skills Excellent judgment, attention to detail, and written communication skills Team‑oriented mindset with the ability to work effectively across functions
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