Regulatory Compliance Associate

Regulatory Compliance Associate

New York, NY

Our client, a leading global investment management firm, is seeking a Regulatory Compliance Associate to join its growing wealth and private markets platform. This individual will play a key role in supporting regulatory, compliance, fund governance, and oversight initiatives across a diverse range of investment products distributed through wealth management and intermediary channels.

This opportunity offers broad exposure to compliance, fund operations, distribution oversight, regulatory filings, and cross-functional projects within a highly collaborative and growth-oriented environment.

Key Responsibilities

• Support the development, implementation, and enhancement of compliance policies, procedures, and internal controls.
• Assist with regulatory oversight of third-party service providers, fund administrators, and other key vendors.
• Conduct compliance testing, monitoring, and periodic reviews of business activities and controls.
• Participate in intermediary due diligence and ongoing oversight processes.
• Support AML-related reviews and service provider monitoring initiatives.
• Review marketing and investor-facing materials for compliance with applicable regulations and internal guidelines.
• Assist with regulatory filings, certifications, disclosures, and governance-related matters.
• Respond to due diligence questionnaires, RFPs, investor requests, and compliance-related inquiries.
• Partner with legal, operations, finance, client service, and distribution teams on regulatory and business initiatives.
• Monitor regulatory developments and assist with implementing new requirements across the platform.

Qualifications

• Bachelor's degree required.
• Approximately 3-7 years of experience within compliance, legal, audit, risk, fund administration, or a related control function.
• Prior experience within asset management, wealth management, alternative investments, banking, or broader financial services is preferred.
• Familiarity with investment adviser, fund, securities, or financial regulations is a plus.
• Exposure to AML, compliance testing, regulatory reporting, or operational risk programs is beneficial.
• Strong analytical, organizational, and problem-solving skills.
• Excellent written and verbal communication abilities.
• Ability to manage multiple priorities and work effectively in a fast-paced environment.
• Detail-oriented with a collaborative approach and strong professional judgment.

Compensation & Benefits

• Base salary: $115,000-$150,000
• Discretionary annual bonus opportunity
• Comprehensive benefits package, including health coverage, retirement benefits, and paid time off