Job Description

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

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