Operations and Compliance Associate Position Available In Kings, New York
Tallo's Job Summary: This job listing in Kings - NY has been recently added. Tallo will add a summary here for this job shortly.
Job Description
Our client, an Investment Management Firm in Brooklyn (Dumbo) is seeking an Operations and Compliance Associate for their NY office.
Hours:
8/8:30•4:30/5pm
Salary Range:
$75,000•$125,000k base + very small discretionary bonus + 401k matching + benefits
Schedule:
(4 days in•1 day WFH) will move to 3-2 once acclimated ResponsibilitiesCompliance Support (assist CCO): Manage policies & procedures (Compliance Manual, Code of Ethics, etc.). Conduct compliance & cybersecurity training (new hires & periodic). Monitor employee trades, contributions, gifts, entertainment, and outside business activities. Maintain the firm’s Restricted List. Liaise with compliance & cybersecurity vendors. Prepare materials for testing & mock audits. Coordinate regulatory filings; maintain compliance calendar. Perform due diligence on vendors. Track usage of paid expert networks.
Investor Relations Support:
Prepare & track distribution of marketing materials and investor reports. Manage CRM and complete investor due diligence questionnaires.
Technology Management:
Liaise with IT provider for hardware/software needs. Maintain inventory of laptops & peripherals. Administer firm’s SaaS tech stack.
Office Management:
Support select responsibilities in the Brooklyn office.
Project Assistance:
Assist with ad hoc and recurring compliance, operations, and administrative projects.
Documentation:
Maintain clear, accurate documentation of all related processes.
Requirements:
Bachelor’s degree. 2+ years relevant experience preferred (finance firms, internships, etc.) Strong written communication skills High attention to detail Ability to work independently and collaboratively Integrity, ownership mindset, entrepreneurial yet team-oriented Strong project management and organizational skills Critical thinker, open to evidence-based change Advanced Microsoft Office skills and adaptability to new tech tools Please submit your resume for consideration! You can use www.workgrades.com to collect and manage your references for free and share them with us or anyone else you choose. Candidates with references are always preferred by our clients. Now is the most important time to stand out from the crowd. We suggest that you ensure you have updated your LinkedIn profile and that you start collecting your references early.
