Compliance Associate - Asset Management

Our client, a prominent asset manager, is looking to hire a Compliance Associate to their team to support generalist compliance responsibilities

Key Responsibilities:

• Support regulatory governance filings such as Form ADV, PF, etc.
• Conduct compliance testing.
• Administer compliance training and update materials to address material changes within the organization.
• Support AML, KYC, and OFAC initiatives across the organization.
• Respond to regulatory inquiries and facilitate regulatory examinations.
• Develop policies & procedures and update the Compliance Manual.
• Marketing material review

Requirements

• Bachelor's Degree
• 2-8 years of compliance experience at an asset management firm