Compliance Associate

Compliance Associate at Glocap Search Compliance Associate at Glocap Search in Hoboken, New Jersey Posted in about 4 hours ago.

Type:

full-time

Job Description:

Alternative Asset Manager seeks Associate to join their Compliance team in New York. Responsibilities Compliance Monitoring & Oversight Support the execution of the firm's compliance monitoring and testing program. Perform periodic reviews of employee activities including personal trading, gifts and entertainment, political contributions, outside business activities, and other key compliance controls. Assist with surveillance efforts designed to identify potential conflicts of interest and policy exceptions. Maintain compliance logs, certifications, and related records. Regulatory Compliance Assist with the preparation and maintenance of regulatory filings, disclosures, and supporting documentation. Monitor regulatory developments impacting the business and applicable industry requirements. Support responses to regulatory examinations, investor requests, and compliance-related questionnaires. Policies & Procedures Assist with the maintenance and periodic review of compliance policies, procedures, and the Code of Ethics. Support enhancements to internal controls and compliance processes. Track employee attestations and annual compliance certifications. Marketing & Communications Review Review marketing materials, presentations, questionnaires, and external communications for compliance with applicable regulations and internal policies. Coordinate approvals and maintain records of reviewed materials. Training & Employee Support Assist with the development and delivery of compliance training programs. Support onboarding activities related to compliance requirements. Respond to employee inquiries and provide guidance regarding policies and procedures. Recordkeeping & Administration Maintain books, records, and documentation in accordance with regulatory requirements and firm policies. Support document management systems and compliance technology platforms. Assist with internal audits, special projects, and ongoing compliance initiatives. Qualifications Bachelor's degree with 5+ years of compliance, regulatory, or risk management experience within financial services. Experience supporting investment products and financial instruments. Familiarity with regulatory requirements applicable to investment management, asset management, or advisory businesses. Series 24 License (preferred) Strong organizational skills with the ability to manage multiple priorities in a fast-paced environment. Self-motivated with excellent communication and problem-solving skills.