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Compliance Associate

Michael Page

This is a Full-time position in New York, NY posted February 17, 2021.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual’s status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

Summary

As this Asset Manager continues to expand, their compliance team is following suit and seeking a Compliance Associate to maintain a standard of excellence in adherence to the firm’s compliance program.

Client Details

Prestigious Asset/Investment Manager in Manhattan

Description

  • Assist a team in ensuring firm adherence to the established Regulatory Compliance program
  • Recognize gaps and inconsistencies in the compliance program and make recommendations for change
  • Assist in regulatory filing processes including 13f, 13g etc.
  • Assist in review and preparation of disclosure documents (Form ADV, Fund Registration Docs etc.)
  • Maintain Compliance Monitoring and similarly related reports
  • As the firm continues to evolve, ad-hoc projects around examinations and audits as directed by CO’s will prove to be an important piece of this position

Profile

  • Recent Bachelor’s Degree from a four year university required
  • JD preferred
  • 1-5 years of direct compliance experience on the buy-side
  • Mastery of Microsoft suite of products as well as different public and private data bases and case management systems
  • Ability to work in a forward thinking, fast-paced environment

Job Offer

  • Competitive compensation and a fast-paced but flexible working culture in Manhattan