Compliance Associate/Compliance Counsel
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-02-06
Listing for:
Taylor Root
Full Time
position Listed on 2026-02-06
Job specializations:
-
Law/Legal
Regulatory Compliance Specialist, Financial Crime, Tax Law, Financial Law -
Finance & Banking
Regulatory Compliance Specialist, Financial Crime, Tax Law
Job Description & How to Apply Below
Overview
A well-regarded global alternative investment firm is seeking a Compliance Associate or Compliance Counsel to support the Chief Compliance Officer in administering the firm’s investment adviser compliance program.
As a Compliance Associate or Compliance Counsel, you will play a key role in supporting the firm’s compliance framework through activities such as:
- Conducting forensic testing and surveillance to identify and resolve potential compliance issues
- Assisting with regulatory examinations, compliance policies and procedures, conflicts, regulatory filings and compliance training related to code of ethics
- Monitoring private fund trading and employee personal trading
- Staying current on securities law and regulation
The ideal candidate would have two to five years of:
- Working knowledge of complex investment strategies and financial products, especially fixed income and derivatives
- Familiarity with major securities laws and regulations, including the Investment Advisers Act and Investment Company Act
- Experience at the SEC, law firm,
or within a compliance function at an SEC-registered investment adviser
Position Requirements
10+ Years
work experience
To View & Apply for jobs on this site that accept applications from your location or country, tap the button below to make a Search.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
Search for further Jobs Here:
×