Buy-Side Compliance

Buy-side Compliance Overview

• The Buy-side Compliance role offers an opportunity to contribute to a dynamic investment management firm.
• Support compliance operations, including annual filings, marketing reviews, and brokerage statement assessments.
• Collaborate with the General Counsel/Chief Compliance Officer to manage compliance calendars and ethics codes.
• Engage in diverse responsibilities, including back-office tasks and regulatory compliance initiatives.
• Contribute to a lean, fast-paced environment with a focus on energy and infrastructure investments.
• Participate in a hybrid work model, balancing in-office and remote work flexibility.
• Enjoy comprehensive benefits, including 401k matching, generous bonuses, and insurance coverage.
• Develop skills and expertise with the potential to grow into a Chief Compliance Officer role.

Buy-side Compliance Key Responsibilities & Duties

• Manage compliance calendar activities, ensuring adherence to regulatory deadlines and requirements.
• Conduct marketing material reviews to ensure compliance with industry standards.
• Oversee brokerage statement evaluations, identifying discrepancies and ensuring accuracy.
• Assist in annual filings and regulatory submissions to maintain firm compliance.
• Collaborate with legal and compliance teams to uphold ethical standards and codes of conduct.
• Support back-office operations, contributing to efficient workflow and task management.
• Engage in structured debt and equity investment compliance processes.
• Provide responsive and detail-oriented support to ensure organizational compliance goals are met.

Buy-side Compliance Job Requirements

• Bachelor of Arts (BA) degree required; background in compliance or marketing review preferred.
• Minimum of 1 year of relevant experience; 3 years preferred for optimal performance.
• Familiarity with compliance operations, including filings, reviews, and regulatory adherence.
• Ability to manage multiple tasks in a lean, fast-paced investment environment.
• Strong attention to detail and responsiveness in handling compliance-related duties.
• Self-starter with the ability to identify and execute tasks independently.
• Open to learning and development with potential growth into leadership roles.
• Hybrid work model with flexibility for remote work on Fridays.