Compliance Associate

An Investment Management Firm is seeking an experienced professional to join their team as a Compliance Associate.

Responsibilities:

• Support the administration and ongoing development of the firm’s compliance program


• Maintain compliance policies, procedures, documentation, and internal monitoring processes


• Assist with regulatory reporting, periodic reviews, and compliance testing


• Support AML/KYC and other investor and counterparty compliance requirements


• Review business communications and materials for compliance with applicable policies and regulations


• Assist with monitoring and surveillance activities across the organization


• Partner with internal teams and external service providers on compliance-related matters


• Identify opportunities to enhance compliance processes, controls, and technology


• Assist with new initiatives and other compliance-related projects as needed

Qualifications:

• Bachelor’s degree required


• 1 to 8 years of compliance, legal, regulatory, or related financial services experience


• Experience within investment management, financial services, consulting, or a related environment


• Familiarity with regulatory reporting, compliance testing, and AML/KYC processes


• Strong written and verbal communication skills


• Excellent attention to detail and organizational skills


• Strong analytical and problem-solving capabilities


• Ability to manage multiple priorities and work effectively across different functions


• Proficiency in Microsoft Office and ability to learn new systems and technologies quickly