A well-respected international alternative investments and asset management firm seeks a Compliance Associate to join their team.


The Compliance Associate will work with an array of important matters including the following.

  • Work closely with trading/operations and investment teams to provide compliance support of fixed income/credit (and to a lesser extent equity) trade/settlement activity, resolution of trading issues, and implementation of pre/post trade monitoring of portfolio investment guidelines/restrictions and side letter requirements
  • Provide compliance support of swap and hedging activity
  • Maintain approved broker list, and coordinate materials and meetings of firm’s Brokerage Oversight Committee
  • Conduct Anti-Money Laundering reviews of portfolio company holdings
  • Maintain the restricted list and conducting internal/external wall crosses
  • Maintain various investment-related databases to monitor compliance, including but not limited to deal log, employee board list, investment/allocation committee approvals, the fund/account master compliance list
  • Manage the Compliance Monitoring and Testing Plan; conduct periodic assessments
  • Assist with the preparation of quarterly and annual compliance reports to senior management
  • Assist with the preparation of periodic filings, such as Form PF, Form ADV, CFTC notifications, Treasury reporting and Annex IV as well as security holdings reports for securities listed on both US and foreign exchanges
  • Assist with Code of Ethics monitoring – Employee Personal Trading, Political Contributions, Gift and Entertainment, Outside Business Activities
  • Assist with responding to regulatory exams and inquiries.
  • Assist with AML and KYC review in onboarding new fund investors, and completing KYC and basic information requests from third parties
  • Field inquiries from employees on compliance matters and assist with employee compliance training

Minimum requirements

  • Bachelor Degree; Audit experience a plus
  • 2-4 years experience in Asset Management Compliance focused on compliance trade and investment support for various registered and unregistered alternative products, including but not limited to closed end funds, business development companies (BDCs), or private funds with a credit/fixed income investment strategy
  • Knowledge of trading strategies across a wide range of products and a working knowledge of alternative investments
  • Experience in surveillance and regulatory reporting, a solid understanding of SEC rules and regulations and familiarity CFTC requirements and exemptions
  • Ability to work effectively under pressure and in a fast-paced environment
  • Excellent interpersonal and communication skills (oral and written) with strong relationship building skills
  • Candidates must be able to work independently and also as part of a dynamic team, with an eagerness to take on new challenges and responsibilities
  • Excellent time management skills and multitasking ability
  • Keen desire to show initiative and creativity when problem solving
  • Self-motivating and eager to learn and consistently be challenged


Please email resumes to Jack Kelly at Jack@ComplianceSearch.com.


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