Compliance Associate
A leading real estate investment advisory firm is seeking a Compliance Associate to support its SEC‑registered compliance program. This role is ideal for someone with 2-3 years of adviser‑side experience who thrives in a fast‑paced, detail‑driven environment.
Key Responsibilities:
- Administer the firm's Code of Ethics, including personal trading reviews, pre‑clearance, conflicts logs, and restricted list updates.
- Review marketing materials for regulatory and policy compliance.
- Assist with annual reviews, mock exams, regulatory filings, and focused compliance testing.
- Support vendor management and implementation of compliance technology tools.
- Develop training materials, maintain organized compliance files, and research regulatory issues.
- Monitor regulatory changes and recommend process enhancements.
- Contribute to special projects, including ESG‑related work.
What We're Looking For:
- Bachelor's degree; 2-3 years at an SEC‑registered investment adviser (real estate/alternatives a plus).
- Strong writing, communication, and organizational skills.
- High attention to detail; ability to juggle multiple deadlines.
- Familiarity with the Advisers Act and Marketing Rule (206(4)-1) preferred.
- Proficiency in Excel, Word, PowerPoint; experience with compliance systems (ComplySci, Red Oak, Global Relay) is a plus.
Why This Role:
Join a collaborative, high‑growth firm with a strong reputation in real estate investing, offering meaningful scope to expand your compliance career
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