Compliance Associate
nextera searchNew York, NY
An Investment Management Firm is seeking an experienced professional to join their team as a Compliance Associate.
Responsibilities:
- Support the administration and ongoing development of the firm’s compliance program
- Maintain compliance policies, procedures, documentation, and internal monitoring processes
- Assist with regulatory reporting, periodic reviews, and compliance testing
- Support AML/KYC and other investor and counterparty compliance requirements
- Review business communications and materials for compliance with applicable policies and regulations
- Assist with monitoring and surveillance activities across the organization
- Partner with internal teams and external service providers on compliance-related matters
- Identify opportunities to enhance compliance processes, controls, and technology
- Assist with new initiatives and other compliance-related projects as needed
Qualifications:
- Bachelor’s degree required1 to 8 years of compliance, legal, regulatory, or related financial services experience
- Experience within investment management, financial services, consulting, or a related environment
- Familiarity with regulatory reporting, compliance testing, and AML/KYC processes
- Strong written and verbal communication skills
- Excellent attention to detail and organizational skills
- Strong analytical and problem-solving capabilities
- Ability to manage multiple priorities and work effectively across different functions
- Proficiency in Microsoft Office and ability to learn new systems and technologies quickly
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Level
Mid L4
Location
New York, NY
Occupation
Compliance Managers
Industry
Miscellaneous Financial Investment Activities
Posted
8 days ago