Title: Compliance Associate/Officer

Firm: $50B+ Alternative Asset Management Firm

Location: Greenwich, CT and New York, NY

Job Overview : Our client, a successful alternative asset management firm with $50B+ in AUM is seeking an exceptional Compliance Professional to join their compliance team.

Highlights:

• Newly created position on the credit team which is the fastest growing area of the firm
• The firm emphasizes personalized mentoring and training for new hires, aiming to develop their skills and promote from within (they recently created a formal program here!)
• Compliance is led by experienced professionals who have ample experience in the asset management world and will be excellent senior people to learn from
• Firm is dedicated to cultivating a diverse and inclusive workplace, recognizing that such an environment brings strength and effectiveness to the organization.

Responsibilities

• Assist with preparing various regulatory filings including Form ADV
• Assist with updates to Compliance Manual, Code of Ethics and other policies
• Assist in conflicts, MNPI and non-syndicate information screening and tracking
• Facilitate the compliance requirements associated with the investment process and manage investment documentation
• Oversee AML/KYC program for Credit
• Develop and implement Order Management System compliance rules for allocations and investment restrictions
• Conduct new-hire general credit training
• Oversee and escalate California lending review
• Assist in marketing review
• Support other compliance projects

Requirements

• J.D. from accredited institution helpful but not required
• Bachelor’s degree from an accredited college/university
• Minimum of three years of relevant compliance experience (financial services and Investment Company Act, a plus)
• Energetic with strong leadership, highly collaborative and strong project management skills