Compliance
Job Description:
Position: Compliance Associate
Location: Stamford, Connecticut
Firm Overview:
An established investment firm managing global equity strategies for private funds, SMAs, and public funds. The firm has approximately 18 employees and $4 billion in assets under management, with offices in Connecticut and Florida. The culture emphasizes collaboration, respect, and retaining motivated professionals.
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Responsibilities:
• Manage daily compliance activities to ensure adherence to the Investment Advisers Act of 1940 and Investment Company Act of 1940.
• Maintain and update compliance policies and procedures as regulations and business needs evolve.
• Prepare and file required regulatory reports (e.g., ADV, 13F, Form D, RIC filings).
• Support regulatory inspections, audits, and inquiries.
• Conduct annual compliance reviews, including employee training and risk assessments.
• Provide real-time compliance guidance to the trading desk.
• Coordinate board meetings and manage director resolutions.
• Oversee employee trading approvals and annual attestations using a third-party compliance platform.
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Requirements:
Qualifications:• 1–2 years of direct compliance experience at an asset manager, compliance consultancy, or law firm.
• Degree in Finance, Law, or a related field.
• Strong knowledge of the Investment Advisers Act and Investment Company Act.
• Excellent written and verbal communication skills.
• Highly organized with strong attention to detail.
• Self-starter with the ability to handle multiple projects and meet deadlines independently.
