Compliance Associate
A leading private credit investment firm with $7B+ assets under management is looking to bring on a Senior Compliance Associate to their growing team. The Senior Compliance Associate will support the Chief Compliance Officer/General Counsel on updating, implementing, and maintainng the firm's compliance program. This will be the Chief Compliance Officer's first compliance hire and direct report, making this a great opportunity for mentorship from a senior leader in the space.
This role will require 5 days a week onsite in the firm's new Midtown office.
Key Responsibilities:
- Develop and maintain compliance programs per SEC regulations.
- Monitor adherence to laws and regulations for investment advisers and private funds.
- Conduct compliance reviews and assessments.
- Collaborate with consultants on compliance tasks.
- Support policy development and updates.
- Respond to employee compliance inquiries.
- Administer compliance management system.
- Prepare regulatory reports and filings.
- Stay updated on regulatory changes.
- Manage third-party service provider due diligence.
- Support AML/KYC requests and reporting.
- Assist with cybersecurity reviews and initiatives.
- Monitor ESG compliance and develop governance structures.
Key Qualifications:
- Bachelor's degree required, JD a plus!
- 3+ years of relevant compliance experience
- Knowledge of SEC rules and regulations
- Ability to take initiative and work autonomously
- Strong communication skills and profressional demeanor
This firm has a great training program as well for new hires, so even if you don't have experience with everything listed, apply in!
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