Compliance Associate

Company Details:

We are a midtown Manhattan based small-mid-cap U.S. long-only equity manager with strong 20 year track record and approximately $2B under management.   We manage two privately offered commingled funds and several separately managed account clients.

Job Details:

We are seeking a hands-on compliance professional with 2-5 years’ experience working at a registered investment adviser to report directly to the Chief Compliance Officer.  The right candidate will have the spirit of a steward and will work as the CCO’s right hand to ensure we continue to have a world class compliance program.

Whoever joins the team must fit with our culture, vision and values. We are committed to attracting, developing and empowering great talent and creating a collaborative environment where people can and are expected to rise to their full potential. The ideal candidate must be open to development, mentoring, and hard work and also have the desire and courage to step up, voice an opinion, and demonstrate leadership when necessary.

We do not view compliance as a standalone function; rather it is a key part of our leadership philosophy that shapes firm strategy and governance and permeates everything we do; the right candidate will have the opportunity to help lead our program and shape our compliance culture.

Experience/Skills Required:

• Have held a meaningful compliance role, preferably in an equities shop that manages both funds and separately managed account clients.
• Ability to diligently perform all areas of a compliance program’s tasks and tests, including everything from daily alert surveillance to assisting with the Annual 206(4)-7 report / review.
• Possesses a keen sense of prudence and is able to evaluate a broad spectrum of regulatory and business risk.
• Excellent communication and writing skills, particularly in the drafting of compliance policies and procedures as well as client-facing memoranda.
• Strong working knowledge of compliance software solutions, including rule coding and database maintenance.

Personal Qualities:

• Self-aware, grounded and open to feedback.
• Highly organized and owns an appreciation for orderliness.
• Is able to toggle between taking direction to giving direction
• Willing and able to speak openly and honestly to all colleagues
• Genuinely curious with a passion for gaining and sharing knowledge.
• Resilient, flexible and knows that no task is too big or too small.
• Desires new opportunities / responsibilities.