Compliance Associate

High End mid-sized Fund seeks Compliance Associate with 1-3+ years of experience.

We are looking for an energetic, organized, detail-oriented individual who is highly motivated and enthusiastic joining a small tight knit Compliance team where you will help to manage the daily, weekly, monthly, and quarterly deliverables.

These responsibilities focus on portfolio and trade surveillance to ensure that the firm maintains compliance with client guidelines and regulatory requirements, conducting transactional, forensic testing and compliance reviews.

This role offers the opportunity to develop broad, hands-on experience across investment compliance, trading, regulatory reporting, and firmwide compliance within a global asset management firm. As a member of
the Compliance team, you will work closely with portfolio managers, traders, operations, and senior compliance professionals while taking on meaningful responsibilities.

This is a great career opportunity with a firm that offers extensive professional training and the opportunity for advancement.

In summary you will assist in supporting senior Compliance members in the following areas:
 

• Pre and post trade investment compliance monitoring
• Compliance program monitoring and testing
• Code of ethics monitoring
• Preparation of regulatory filings (13F, ADV, Form PF)
• Trade surveillance
• Adhoc projects

Specifically, you will:

• Support pre- and post-trade investment compliance monitoring for client accounts and mutual fund portfolios using EZE Compliance, including client guidelines, mutual fund trade restrictions, and UCITS requirements.
• Work directly with portfolio managers and traders in an active trading environment to identify and help resolve investment compliance matters.
• Support the firm’s compliance program, including employee onboarding in ComplySci, personal trading monitoring, brokerage feeds, annual attestations, and Code of Ethics requirements.
• Conduct compliance testing and reviews across areas including best execution, proxy voting, cash and position reconciliations, trade confirmations, window dressing, and AML reviews using Refinitiv World-Check.
• Assist with regulatory filings and reporting, including Forms 13F, 13H, ADV, and PF, as well as the firm’s annual SOC controls audits.
• Support quarterly billing processes for separately managed accounts and contribute to compliance-related responses for client and prospect DDQs.
• Partner with senior members of the Compliance team on projects and firmwide initiatives, contributing ideas ot help enhance processes and controls.

Requirements include:

• Completed Bachelor’s degree with 1-3+ years of Compliance experience, preferably in Investment Management or with a Consulting Firm that services Investment Managers.
• Familiarity with the following programs strongly preferred: EZE Compliance, ComplySci, Bloomberg, Refinitive World Check
• Extensive Compliance experience related to Equities and/or Global Equities
• Strong written and verbal communication skills, with the ability to collaborate effectively within investment, trading, operations, and other teams across the firm.
• Excellent attention to detail while working through tight timelines and strict deadlines
• Proactive, organized, and accountable, with sound judgment and the ability to handle sensitive and confidential information with discretion.
• Ability to prioritize, organize and manage multiple tasks in a professional, fast-paced environment
• The ideal candidate is hard-working, driven, smart, accountable, efficient, humble, and collaborative.
• Problem solver and strategic thinker; strong problem recognition and resolution skills
• Experience with 1940 Act fund compliance is a plus.
• Strong work ethic and professional demeanor
• Strong analytical skills