Compliance

Position: Compliance Associate Location: Stamford, ConnecticutFirm 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. ________________________________________ 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. ________________________________________