An international Asset Management Firm is looking to expand their New York City team of compliance professionals! This Senior Compliance Associate position has a requisite for regulatory experience in regard to personal trade review, quarterly attestations, fund on-boarding, and AML. This is a hybrid position (3 days in office/week).
Key Responsibilities:
- Monitoring quarterly attestations and personal trade review
- Implementing fund on-boarding procedures and regulatory policies pertaining to SEC regulations
- Ability to work well on a team
- Assist with AML policies
Requirements:
- 3-4 years of relevant experience at an Asset Management/Investment Advisor Firm
- Bachelor's Degree
- Experience implementing compliance programs under the Investment Advisers act of 1940
