Compliance Associate
Core
Administering and supporting compliance functions for a global alternative asset management firm, including regulatory filings, investor due diligence, and policy development.
Role type
Compliance Associate
Builds
Regulatory compliance framework and operational adherence for investment strategies
Domain
Financial Services / Asset Management / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory filings, AML/KYC diligence, Sanctions screening, Information barriers management, Policy drafting, Employee training, Trading compliance monitoring, Legal/regulatory analysis
Preferred skills
ACAMS, FINRA SIE, Series 7, Compliance/AML systems (RDC, Moody's, MyComplianceOffice, Complysci)
Technologies
RDC, Moody's, MyComplianceOffice, Complysci, Microsoft Excel, Microsoft PowerPoint
Responsibilities
Assist with federal, state, and international regulatory filings; Review investor subscription agreements for AML/KYC compliance; Monitor third-party administrators and conduct due diligence; Review and disposition sanction screening alerts; Maintain information barriers and restricted lists; Provide daily compliance guidance to employees; Conduct electronic communications surveillance and testing; Assist with audits and regulatory exams; Draft policies and procedures; Develop and conduct employee trainings; Analyze new laws and regulations; Assist with employee trading compliance and pre-clearance requests
Seniority
Mid-level, hands-on IC
