Compliance Associate-12623

Company Info: Well-established credit investment firm based in Greenwich, CT


  • Assist with preparation of SEC Form ADV and PF, Form D, and other regulatory reports and filings and ensures that regulatory filings are timely and accurate
  • Review and monitor employee personal account trading
  • Review and monitor Political Contributions
  • Review and ensure employee compliance with Annual and Quarterly reporting/questionnaires
  • Assist with trade allocation reviews and best execution testing
  • Assist with maintenance of Restricted Lists, monitoring of Confidentiality Data Room access, approval and tracking of expert network/consultants
  • Assist with review of marketing materials, due diligence questionnaires and other client communications
  • Assist with vendor diligence/review
  • Identify potential conflicts of interest and areas of compliance vulnerability and risk
  • Assist with maintenance of the Compliance Manual, testing and administration of employee compliance training
  • Assist with new employee onboarding and compliance training
  • Maintain critical books and records
  • Author compliance memoranda to management
  • Perform surveillance activities to detect and resolve potential compliance issues
  • Monitor changes to securities laws and regulations
  • Provide support for regulatory examinations and internal audits


  • Bachelor’s degree (J.D. a plus)
  • 2-3 years of experience as a compliance professional at an investment advisory fund/hedge fund that is registered with the SEC, a compliance advisory firm or at the SEC
  • Excellent communication and presentation skills
  • Strong knowledge of Microsoft Excel (including v-lookup and pivot tables), PowerPoint and Word
  • Experience with ComplySci and Global Relay systems
  • Exceptional attention to detail and organizational skills
  • Ability to work in a fast-paced environment and execute multiple projects (short and long term) accurately and on time
  • Working knowledge of complex investment strategies and financial products, especially fixed income and derivatives
  • Familiarity with securities laws and regulation, including the Investment Advisors Act, is preferred


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