Compliance Associate

Compliance Associate Overview

• The Compliance Associate will support compliance and back-office operations for a dynamic investment firm specializing in energy and infrastructure.
• Assist with compliance calendar management, annual filings, and brokerage statement reviews to ensure regulatory adherence.
• Collaborate on marketing reviews and code of ethics enforcement, maintaining high standards of compliance integrity.
• Contribute to a lean, high-performing team in a hybrid work environment with flexible arrangements.
• Opportunity to grow into a Chief Compliance Officer role, gaining leadership experience and professional development.
• Work closely with experienced professionals in a fast-paced, collaborative setting.
• Benefit from competitive compensation, bonuses, and comprehensive benefits including 401k matching and insurance coverage.
• Enjoy work-life balance with a hybrid schedule and supportive team culture.

Compliance Associate Key Responsibilities & Duties

• Manage compliance-related tasks including annual filings, marketing reviews, and brokerage statement assessments.
• Ensure adherence to regulatory requirements and maintain compliance documentation and records.
• Support the General Counsel/Chief Compliance Officer in daily operations and strategic initiatives.
• Conduct reviews and updates of the compliance calendar, ensuring timely completion of tasks.
• Assist in enforcing the code of ethics and handling compliance inquiries from internal teams.
• Collaborate on structured debt and equity projects within the energy and infrastructure sectors.
• Identify and implement process improvements to enhance compliance efficiency and effectiveness.
• Support marketing material reviews and ensure alignment with regulatory standards.

Compliance Associate Job Requirements

• Bachelor of Science (BS) degree in a relevant field is required.
• Minimum of 2 years of experience in compliance, with 5 years preferred.
• Background in compliance and marketing reviews is highly desirable.
• Strong attention to detail and ability to manage multiple responsibilities effectively.
• Self-starter with excellent organizational and problem-solving skills.
• Familiarity with buy-side compliance and regulatory requirements is advantageous.
• Proficiency in managing compliance calendars and related documentation.
• Ability to work in a hybrid environment with flexibility and adaptability.