About this opportunity
JW Michaels & Co. lists this Compliance Associate opportunity in white plains, New York. Review the employer’s description below for duties, qualifications and application requirements.
Job description
About the Role
Our client, a rapidly growing asset management firm based in New York, is seeking a Compliance Associate to join its compliance team. This is a great opportunity for an early-career professional to build a strong foundation across a broad compliance program, with hands-on training and room to grow.
Responsibilities
Conduct frontline review of marketing materials, including pitch decks and advertisements, for compliance with the SEC Marketing Rule
Support trade operations and assist with the preparation of regulatory filings
Administer the firm’s code of ethics, including personal trading, gifts and entertainment, and political contribution reporting
Assist with the maintenance and updating of compliance policies and procedures
Support vendor onboarding and related due diligence
Partner with internal teams to address day-to-day compliance questions
Qualifications
Bachelor’s degree required
1–2 years of compliance experience at an asset manager or compliance consulting firm
Exposure to the Investment Advisers Act and marketing review experience strongly preferred
Experience with ComplySci or similar compliance systems a plus
Highly organized and detail-oriented, with strong written and verbal communication skills
Eager to learn and grow within a collaborative team environment
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.