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Compliance Associate

L4

alexander chapmanManhattan, NYtoday

$90,000 - $100,000 per year

Occupations

Compliance OfficersCompliance ManagersRegulatory Affairs Specialists

Industries

Investment Banking and Securities IntermediationMiscellaneous IntermediationMiscellaneous Financial Investment Activities
Our client, an established investment management firm is seeking a Compliance Associate to join its compliance team. This role offers broad exposure to registered funds, regulatory filings, governance, and marketing review.
Responsibilities:
  • Support contracts and agreements for U.S. and international funds and corporate entities.
  • Assist with registration statements, prospectus updates, shareholder disclosures, and SEC filings, including Section 13 filings.
  • Prepare Board materials, coordinate meeting agendas, and draft minutes.
  • Review marketing materials, RFPs, and due diligence questionnaires.
  • Help maintain compliance policies, procedures, and filing records.
  • Research regulatory developments affecting investment advisers, mutual funds, and ETFs.
  • Qualifications1–3 years of relevant experience, preferably supporting mutual funds or ETFs.
  • Bachelor's degree in finance, Business, Legal Studies, or a related field, or equivalent education and experience
  • Knowledge of the Investment Company Act, Investment Advisers Act, and SEC/FINRA requirements.
About the opportunity
Compensation Range: $90,000 - $100,000 base salary + BonusWork Module: Hybrid (3 days in the office, 2 days remote)
Location: NYC
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Apply now (opens in a new tab)

Level

MidL4

Salary

$90,000 - $100,000 per year

Location

Manhattan, NY

Occupation

Compliance Officers

Industry

Investment Banking and Securities Intermediation

Posted

today

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