Compliance Associate; Investment Management

Position: Compliance Associate (Investment Management)

• Location:
  
  New York, NY
• Type:
  Perm (Contingency)
• Job #47442
• Salary: $85,000

Job Overview - Compliance Associate (Investment Management):
Compensation: $85,000 - $100,000/year + bonus

Location:

New York, NY

Schedule:

Monday to Friday (Hybrid)

Atlantic Group is hiring a Compliance Associate (Investment Management) in New York, NY for our client, supporting employee compliance monitoring, regulatory filings, marketing reviews, and lobbying requirements. In this hybrid role, you will work with the CCO on personal trading oversight, electronic communications review, forensic testing, and SEC-focused workflows. Ideal candidates have experience in investment management or related environments with strong attention to detail and familiarity with Smarsh or similar tools.

Responsibilities as the Compliance Associate (Investment Management):

• Monitoring & Oversight: Review electronic communications, preclear and monitor personal trading, political contributions, outside activities, and gifts & entertainment, including support for broker feed setup.
• Regulatory Filings & Reporting: Assist with Blue-Sky filings, Form PF, Form 13F, and other SEC, state, and regulatory reporting requirements.
• Lobbying & Registration Management: Coordinate registrations, renewals, and required filings for public pension-related marketing and ensure employees consult Compliance before related activities.
• Testing, Exams & Marketing Review: Support forensic testing, annual reviews, mock SEC exams, and assist with reviewing marketing materials and DDQs for regulatory alignment.
• Governance, Operations & Projects: Maintain committee meeting minutes, chaperone expert network calls, support onboarding and broker counter party requests, and contribute to special compliance projects.

Qualifications for the Compliance Associate (Investment Management):

• Education: Bachelor's degree in Finance, Economics, Business, Legal Studies, or a related field required.
• Experience: 1-2 years of compliance experience in investment management or related industries with exposure to personal trading oversight, regulatory filings, or monitoring tools.
• Technical Skills: Experience with compliance platforms and electronic communication review tools such as Smarsh, with strong proficiency in Microsoft Office.
• Industry Knowledge: Understanding of SEC regulations, advisory compliance, personal trading rules, marketing reviews, and investment management operations.
• Skills & Attributes: Highly organized, detail-oriented self-starter with strong analytical and communication skills who can manage competing priorities in a fast-paced environment.

Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.

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