Compliance Associate

Compliance Analyst/Associate (Connecticut): Our client, an established global asset manager is seeking a Compliance Analyst/Associate to join its Connecticut office. This individual will work as part of a lean Compliance team and gain broad exposure across investment compliance, trading, regulatory reporting, Code of Ethics administration and firmwide compliance matters. The position will work closely with portfolio managers, traders, operations professionals and senior members of the Compliance team. It is an excellent opportunity for an early-career professional seeking to build a broad foundation in investment-management compliance within a collaborative and growing organization.

Highlights:

• Gain hands-on experience across investment compliance, trading, regulatory reporting, Code of Ethics, testing and monitoring, and broader firmwide compliance.


• Work closely with portfolio managers and traders on real-time investment and trading compliance matters.


• Join a lean team with meaningful exposure to senior Compliance professionals, business-unit leaders and senior management.


• The role is designed for someone early in their career who wants to develop broad expertise across investment-management compliance.


• The position is being created because of continued growth at the firm.

Key Responsibilities:

• Support pre-and post-trade investment compliance monitoring for client accounts and registered fund portfolios.


• Monitor client investment guidelines, trading restrictions and other portfolio requirements.


• Work directly with portfolio managers and traders to identify and resolve investment compliance matters.


• Assist with administration of the firm’s Code of Ethics, including personal trading, brokerage feeds, employee certifications and related requirements.


• Support employee compliance onboarding and ongoing attestations.


• Conduct compliance testing and monitoring across areas including best execution, proxy voting, trade activity, reconciliations and AML.


• Assist with regulatory filings, including Forms 13F, 13H, ADV and PF.


• Support compliance-related aspects of the firm’s annual control and audit processes.


• Assist with client and prospect DDQs and other compliance-related requests.


• Partner with senior members of the Compliance team on projects designed to improve compliance processes and controls.


• Assist with other general compliance matters as needed.

Qualifications:

• Bachelor’s degree, ideally in finance, economics, accounting, business or a related discipline.


• Approximately 1–3 years of relevant compliance, asset-management or financial-services experience preferred, although exceptional entry-level candidates may also be considered.


• Genuine interest in developing a career in investment-management compliance.


• Strong analytical and problem-solving skills.


• Exceptional attention to detail.


• Ability to manage multiple priorities and deadlines.


• Proactive, organized and accountable.


• Strong written and verbal communication skills.


• Ability to interact effectively with investment, trading, operations and other business professionals.