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    Senior Associate, Compliance – Investor Relations

      Attach a CV (Accepted file types: pdf, doc, docx, rtf.)

      Senior Associate, Compliance – Investor Relations





      A strong compliance culture is central to the firm’s values. The Compliance Department is comprised of two organizational functions.   The first is business unit compliance, which is generally co-located within the various business units and is the first point of contact for all compliance related issues and questions that arise in the business.  The business unit compliance team is responsible for providing advice and general compliance guidance as well as drafting line of business specific policies and procedures.  The second function is cross line business compliance.  This function provides cross line of business support including: compliance reviews; handling regulatory inquiries and exams; conflict and risk identification; monitoring and surveillance; ethical walls; personal trading; compliance policies and procedures; and continuing education and training.

      The Compliance team seeks a full-time Senior Associate. This position will be a member of the business unit compliance team.  The business unit compliance team provides advice and guidance, addresses business specific issues, and drafts business policies and procedures tailored the firm, including supporting Investor Relations and affiliated broker-dealer.  These business compliance officers serve as the first point of contact for compliance-related questions and issues that may arise. Specific responsibilities may include some or all of the following responsibilities:


      Key Responsibilities

      • Address compliance and risk-related matters, questions and concerns raised by the business(es) she/he covers.
      • Develop and implement all compliance requirements in the business(es).
      • Develop applicable policies and procedures for business unit functions.
      • Partner with Investor Relations on the review of marketing materials and investor communications for compliance with applicable regulations and to ensure consistency and high standards of disclosures.
      • Advise on certain aspects of the firm’s fundraising process, including monitoring international marketing restrictions.
      • Assist in investor onboarding process related to compliance with AML and KYC policies and procedures.
      • Work with Compliance team to ensure relevant regulatory filings, including Form ADV, Form PF, Form BD, Form BR, and other filings, are submitted appropriately.
      • Collaborate with the Compliance team to cover all business areas.
      • Respond to issues and questions identified by the surveillance staff.
      • Assist with compliance assurance matters and examination readiness.
      • Communicate to management all issues and risks that need to be addressed.
      • Work on long term projects aimed at strengthening the compliance program.


      Skills, Knowledge & Experience

      • Bachelor’s degree with a strong GPA.
      • 4 to 6 years of relevant experience required.
      • Working knowledge of regulatory compliance and Advisers Act regulation.
      • Dedicated team player with a strong sense of ownership, self-assuredness, and follow-through skills.
      • Collegial and team-oriented.
      • Capacity to professionally handle highly confidential and sensitive information.
      • Detail-oriented, conscientious, and energetic professional with the ability to think creatively.
      • Strong written communication skills.
      • Excellent organizational and time management skills; ability to prioritize multiple projects with high attention to detail and adaptability.
      • Customer service orientation with strong interpersonal skills with the capacity to interact with outside parties and personnel across all levels of the firm.
      • Strong problem-solving, intuitive, and analytical skills.
      • Ability to prioritize responsibilities and work under deadlines.

      Posted by

      Mark Foy

      Managing Director

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