Compliance Associate

Overview

• Assist the Legal and Compliance Department in ensuring adherence to regulatory requirements and internal policies.
• Support compliance monitoring programs, including testing investment guidelines and reviewing private access reports.
• Manage employee personal trading account documentation and broker feeds for transaction reporting.
• Conduct regular reviews of political contributions, gifts, and entertainment approvals.
• Assist with regulatory filings such as Form D, 13H, 13F, and other international filings.
• Prepare materials for governance and compliance committee meetings.
• Support the firm’s AML/KYC program and monitor sanctions lists.
• Contribute to forensic testing for the Compliance Annual Review.
• Assist with employee onboarding and offboarding processes.

Key Responsibilities & Duties

• Review completed certifications and preclearance requests, updating logs accordingly.
• Maintain and initiate broker feeds for personal transaction reporting and review alerts.
• Conduct ad hoc email reviews and document expert network calls.
• Assist with NDA and Joinder review processes.
• Monitor and document trade errors, ensuring compliance with investment guidelines.
• Prepare and organize materials for compliance committee meetings.
• Support the management of the firm’s AML/KYC program and monitor OFAC lists.
• Assist in forensic testing for compliance reviews and regulatory filings.
• Collaborate with team members to ensure accurate and timely compliance reporting.

Job Requirements

• Bachelor’s degree in a relevant field is required.
• 2-4 years of experience in compliance or related roles.
• Buy-side trading compliance experience is preferred.
• Proficiency in Excel, Word, and PowerPoint is essential.
• Strong written and oral communication skills.
• Attention to detail and ability to work under deadlines.
• Self-starter with excellent organizational skills.
• Team player with the highest ethical standards.
• Ability to maintain discretion and confidentiality.