Compliance Associate
jw michaelsWhite Plains, NY
About the Role:
Our client, a rapidly growing asset management firm based in New York, is seeking a Compliance Associate to join its compliance team. This is a great opportunity for an early-career professional to build a strong foundation across a broad compliance program, with hands-on training and room to grow.
Responsibilities:
- Conduct frontline review of marketing materials, including pitch decks and advertisements, for compliance with the SEC Marketing Rule
- Support trade operations and assist with the preparation of regulatory filings
- Administer the firm’s code of ethics, including personal trading, gifts and entertainment, and political contribution reporting
- Assist with the maintenance and updating of compliance policies and procedures
- Support vendor onboarding and related due diligence
- Partner with internal teams to address day-to-day compliance questions
Qualifications:
- Bachelor’s degree required1–2 years of compliance experience at an asset manager or compliance consulting firm
- Exposure to the Investment Advisers Act and marketing review experience strongly preferred
- Experience with ComplySci or similar compliance systems a plus
- Highly organized and detail-oriented, with strong written and verbal communication skills
- Eager to learn and grow within a collaborative team environment
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Level
Senior L5
Location
White Plains, NY
Occupation
Compliance Managers
Industry
Portfolio Management and Investment Advice
Posted
11 days ago