Regulatory Compliance Associate
Regulatory Compliance Associate
New York, NY
Our client, a leading global investment management firm, is seeking a Regulatory Compliance Associate to join its growing wealth and private markets platform. This individual will play a key role in supporting regulatory, compliance, fund governance, and oversight initiatives across a diverse range of investment products distributed through wealth management and intermediary channels.
This opportunity offers broad exposure to compliance, fund operations, distribution oversight, regulatory filings, and cross-functional projects within a highly collaborative and growth-oriented environment.
Key Responsibilities
- Support the development, implementation, and enhancement of compliance policies, procedures, and internal controls.
- Assist with regulatory oversight of third-party service providers, fund administrators, and other key vendors.
- Conduct compliance testing, monitoring, and periodic reviews of business activities and controls.
- Participate in intermediary due diligence and ongoing oversight processes.
- Support AML-related reviews and service provider monitoring initiatives.
- Review marketing and investor-facing materials for compliance with applicable regulations and internal guidelines.
- Assist with regulatory filings, certifications, disclosures, and governance-related matters.
- Respond to due diligence questionnaires, RFPs, investor requests, and compliance-related inquiries.
- Partner with legal, operations, finance, client service, and distribution teams on regulatory and business initiatives.
- Monitor regulatory developments and assist with implementing new requirements across the platform.
Qualifications
- Bachelor's degree required.
- Approximately 3-7 years of experience within compliance, legal, audit, risk, fund administration, or a related control function.
- Prior experience within asset management, wealth management, alternative investments, banking, or broader financial services is preferred.
- Familiarity with investment adviser, fund, securities, or financial regulations is a plus.
- Exposure to AML, compliance testing, regulatory reporting, or operational risk programs is beneficial.
- Strong analytical, organizational, and problem-solving skills.
- Excellent written and verbal communication abilities.
- Ability to manage multiple priorities and work effectively in a fast-paced environment.
- Detail-oriented with a collaborative approach and strong professional judgment.
Compensation & Benefits
- Base salary: $115,000-$150,000
- Discretionary annual bonus opportunity
- Comprehensive benefits package, including health coverage, retirement benefits, and paid time off
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