Compliance Associate - Asset Management

Our client, a prominent asset manager, is looking to hire a Compliance Associate to their team to support generalist compliance responsibilities

Key Responsibilities:

• Support regulatory governance filings such as Form ADV, PF, etc.


• Conduct compliance testing.


• Administer compliance training and update materials to address material changes within the organization.


• Support AML, KYC, and OFAC initiatives across the organization.


• Respond to regulatory inquiries and facilitate regulatory examinations.


• Develop policies & procedures and update the Compliance Manual.


• Marketing material review

Requirements

• Bachelor's Degree


• 2-8 years of compliance experience at an asset management firm