Compliance Associate
jw michaelsWhite Plains, NY
Compliance Associate
jw michaelsWhite Plains, NY
11 days ago
Industries
Portfolio Management and Investment AdviceMiscellaneous Financial Investment ActivitiesInvestment Banking and Securities IntermediationAbout the role
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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JOB OVERVIEW
Experience level
Senior
Location
White Plains, NY
Occupation
Compliance Managers
Industry
Portfolio Management and Investment Advice
Posted
11 days ago
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