Compliance Associate
Location: Greenwich, CT (In-Office, 5 days/week)
The Opportunity:
Seeking a Compliance Associate to join a $2B alternative asset manager. This hire will report to the General Counsel/Chief Compliance Officer.
Key Responsibilities:
- Prepare and manage regulatory filings (ADV, Form D, 13F/G/H, Form PF).
- Support compliance programs, including mock SEC exams and annual training.
- Assist with legal tasks like NDA review, due diligence requests, and side letter tracking.
- Update and manage the Compliance Manual and policies.
- Handle compliance with the firm’s Code of Ethics, including personal trading and outside business activities.
- Conduct research on regulatory practices and manage compliance processes.
Ideal Candidate:
- 2-5 years of compliance experience within hedge funds, private equity, asset management, or compliance consulting.
- Strong regulatory filing and compliance management skills.
- Detail-oriented with strong organizational and communication skills.
- Tech-savvy and familiar with compliance systems.
