About this opportunity
CIFC Asset Management lists this Compliance Associate opportunity in new york city, New York. Review the employer’s description below for duties, qualifications and application requirements.
Job description
CIFC OVERVIEW
Founded in 2005, CIFC Asset Management LLC (together with its affiliates, “CIFC” or the “Firm”) is a global credit manager with $47+ billion in assets under management. CIFC focuses across multiple disciplines including CLOs, structured credit, corporate credit, and opportunistic credit, as well as direct lending. With offices in Miami, New York and London, and serving over 400 investors globally, we have approximately 200 employees. For more information, please visit CIFC’s website at
Position Overview
The firm is seeking a Compliance Associate to play a critical, hands-on role in the administration and execution of the firm’s compliance program across the world.
This position is ideal for a senior compliance professional with knowledge of the Investment Advisers Act of 1940, including experience in marketing reviews and compliance testings. A plus would be a candidate who also has working knowledge of regulatory requirements in Europe and Asia.
The Compliance Associate will work closely with the Chief Compliance Officer and Legal/Compliance teams at CIFC, and across business functions to personally execute core compliance tasks, including regulatory filings, compliance reviews, and examination support. This is not a purely advisory or oversight role — the successful candidate must be willing and proactive in getting into the weeds, drafting filings, reviewing materials line-by-line, and owning deliverables. The role requires sound judgment, attention to detail, and a collaborative, team-player approach even when dealing with various personalities.
Key Responsibilities
Manage incoming KYC requests from trading counterparties and service providers
Conduct quarterly compliance reviews, including testing, documentation, and issue tracking
Review marketing materials and disclosures for regulatory compliance requirements
Support responses to investor due diligence questionnaires and information requests
Support the implementation of various policies and procedures related to private information (i.e., updating databases and monitoring expert network calls)
Assist with oversight of the firm’s code of ethics (i.e., personal trading, and gifts & entertainment)
Assist with regulatory filings
Assist with firm preparation for SEC examinations, including document collection, production, and issue tracking
Serve as a practical, solution-oriented compliance partner to investment, operations, legal, and investor relations teams
Qualifications & Experience
Bachelor’s degree required
Three to five years of compliance experience at an SEC-registered investment adviser or compliance consulting firm
Highly detail-oriented, organized, and entrepreneurial - a problem solver
Comfortable working in a fast-paced environment with constantly shifting priorities
Self-starter who is able to work independently and as part of a collaborative team
Strong written and verbal communication skills
Professional judgment, discretion, and a collaborative, team-first mindset
Reporting Relationship
Reports directly to the Chief Compliance Officer and serves as a key day-to-day partner and trusted compliance resource across the firm
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.