Compliance Associate

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POST DATE 8/20/2016
END DATE 12/19/2016

Investment Management New York, NY

New York, NY
AJE Ref #
Job Classification
Full Time
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Company Ref #


Due to heavy growth and expansion, this midtown Investment Management Boutique seeks an exceptional individual to join their Compliance team. In this role you will support the CCO with review, updating and testing of policies and procedures under Rules 38(a)-1 and 206(4)-7. You will also be responsible for sub-adviser oversight including review of quarterly reporting materials, testing reports and other documentation to confirm their compliance with applicable securities laws.

** To be considered for this role you will have 2+ years of sub-advisory oversight, compliance testing experience and strong knowledge of 1940 Act rules/regulations


* Oversight and testing of sub-adviser and third party provider compliance programs
* Conduct periodic on-site due diligence visits
* Managing email review process
* Complete quarterly compliance certifications for institutional accounts


* Bachelors degree is required
* 2+ years of mutual fund or asset management compliance with specific sub-adviser oversight experience
* Solid experience with testing policies and procedures
* Series 7 licenses a plus
* Regulatory knowledge of the Investment Company Act of 1940 and Investment Advisers Act is required
* Demonstrated ability to take initiative, make recommendations and meet deadlines

_This exceptional career opportunity will not last long so send your resume today!_