Compliance Associate

Alternative Asset Manager seeks Associate to join their Compliance team in New York.

Responsibilities

Compliance Monitoring & Oversight

• Support the execution of the firm’s compliance monitoring and testing program.
• Perform periodic reviews of employee activities including personal trading, gifts and entertainment, political contributions, outside business activities, and other key compliance controls.
• Assist with surveillance efforts designed to identify potential conflicts of interest and policy exceptions.
• Maintain compliance logs, certifications, and related records.

Regulatory Compliance

• Assist with the preparation and maintenance of regulatory filings, disclosures, and supporting documentation.
• Monitor regulatory developments impacting the business and applicable industry requirements.
• Support responses to regulatory examinations, investor requests, and ...

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