Compliance Associate
alexander chapmanBrooklyn, NY
$90,000 - $100,000
APPLY (opens in a new tab)Compliance Associate
alexander chapmanBrooklyn, NYMid L4
$90,000 - $100,000
Investment Banking and Securities IntermediationMiscellaneous IntermediationMiscellaneous Financial Investment Activities
APPLY NOW (opens in a new tab)Our client, an established investment management firm is seeking a Compliance Associate to join its compliance team. This role offers broad exposure to registered funds, regulatory filings, governance, and marketing review.
Responsibilities:
- Support contracts and agreements for U.S. and international funds and corporate entities.
- Assist with registration statements, prospectus updates, shareholder disclosures, and SEC filings, including Section 13 filings.
- Prepare Board materials, coordinate meeting agendas, and draft minutes.
- Review marketing materials, RFPs, and due diligence questionnaires.
- Help maintain compliance policies, procedures, and filing records.
- Research regulatory developments affecting investment advisers, mutual funds, and ETFs.
Qualifications:
- 1–3 years of relevant experience, preferably supporting mutual funds or ETFs.
- Bachelor’s degree in finance, Business, Legal Studies, or a related field, or equivalent education and experience
- Knowledge of the Investment Company Act, Investment Advisers Act, and SEC/FINRA requirements.
About the opportunity:
Compensation Range: $90,000 - $100,000 base salary + BonusWork Module: Hybrid (3 days in the office, 2 days remote)
Location: NYC
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Level
Mid L4
Salary
$90,000 - $100,000
Location
Brooklyn, NY
Occupation
Compliance Officers
Industry
Investment Banking and Securities Intermediation
Posted
7 days ago