A leading institutional investor in the global energy sector has a need for a Compliance Associate with 2+ years of compliance experience supporting an investment advisor or investment management company. The Compliance Associate is responsible for supporting the compliance function on a global basis across all areas of compliance.
This role requires: • Bachelor’s degree • Minimum of 2 years’ compliance and regulatory experience with SEC registered asset management firm, preferably with exposure to private funds • Knowledge of federal securities laws, including, but not limited to, the Investment Advisers Act of 1940, Investment Company Act of 1940, and related regulatory requirements attendant to private fund offerings.
This is a hybrid role (3 days in office; 2 remote).
Role includes a competitive base salary and an annual bonus.
• Management of the 206(4)-7 Compliance Program, including managing the Compliance Monitoring and Testing Plan and conducting periodic risk assessments
• Oversight of key service providers and compliance consultants in connection with third-party periodic assessments (e.g., quarterly reviews, mock exams, etc.)
• Work closely with operations and investment teams to provide compliance support of fixed income/credit trade and settlement activity, resolution of trading issues, and implementation of trade monitoring of portfolio investment guidelines
• Provide compliance support for the firm’s affiliated broker-dealer
• Maintain approved broker list, and coordinate materials and meetings of firm’s Brokerage Oversight Committee
• Conduct AML reviews of portfolio company holdings
• Facilitate the management of MNPI by maintaining the restricted list and conducting external wall crosses
• Maintain various investment-related databases to monitor compliance
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compensation: $110k to 130k per year + none
employment type: full-time
job title: Compliance Associate