Compliance Associate - Code of Ethics
Listed on 2026-03-07
-
Finance & Banking
Regulatory Compliance Specialist
Compliance Consultant - Code of Ethics (Private Funds Focus)
Compensation: $80,000-$125,000 base salary, depending on experience
Location:
Remote (U.S.)
A boutique regulatory compliance advisory firm is seeking a Compliance Consultant with strong experience supporting private fund managers
. This fully remote role offers the opportunity to join a highly specialized team that provides hands‑on, high‑touch compliance support to sophisticated investment advisers.
The firm is looking for a professional who can take ownership of Code of Ethics (COE)-related advisory work and contribute to broader Advisers Act compliance initiatives. The ideal candidate brings both subject‑matter expertise and the ability to work directly with clients in a consultative capacity.
While system‑specific training can be provided, candidates who have worked with COE technology platforms
-including implementations, migrations, or other system‑related projects-will stand out.
There is also potential for this role to expand into email review oversight
, depending on the candidate's background and interest. Deep experience in this area could position the individual to help shape or lead this service offering.
- Advise private fund clients on Code of Ethics requirements
, interpretations, and best practices - Support broader Advisers Act compliance matters
- Assist with or lead COE system administration
, including onboarding, troubleshooting, and workflow management - Participate in system implementations, migrations, or enhancement projects
- Contribute to internal process improvements and client‑facing deliverables
- Optional:
Support or oversee email review processes
, depending on experience
- Background in compliance within the private funds ecosystem (consulting, in‑house, or service provider)
- Hands‑on experience advising on Codes of Ethics and related regulatory requirements
- Familiarity with COE technology platforms (any vendor)
- Exposure to system implementations or migrations is a plus
- Experience conducting or managing email reviews is a bonus
- Strong communication skills and comfort working directly with clients
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