Compliance Associate - Atlantic Group : Job Details

This range is provided by Atlantic Group. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.Base pay range $100,000.00/yr - $150,000.00/yrLocation: NYC/ Fairfield County CTCompensation: $100k-$150k base + bonusResponsibilities:Facilitating the timely completion of regulatory filings such as ADV, Form D, 13F/G/H, Form PF, etc.Management of annual mock SEC exam and recurring external/internal electronic communications reviewsManagement and facilitation of annual compliance training and new employee compliance onboarding and trainingAnnual update of the Compliance Manual and other related policiesSupporting the firm's Code of Ethics and ensuring compliance with regulatory requirements including new hire and ongoing certifications, and personal trading and political contributions, gifts & entertainment, and outside business activities preclearance and tracking using the firm's Compliance platform and related broker feeds/attestationsManagement of Expert network screening/approval and call chaperoning (where required)Conducting research on regulatory practices and changes impacting the investment management industryTracking and management of compliance processes such as best execution, proxy voting, outside business activities, conflicts of interest, restricted list, NDA tracker counterparty risk, ESG reporting, marketing material review, and maintenance of compliance breach logsMonitoring of Data roomsPreparing Valuation committee minutes and quarterly valuation packsReviewing updates to DDQ, and assisting with Investor DDQs and ODDsBusiness Continuity/Disaster Recovery testing formulation and tracking in conjunction with ITQualificationsBachelor's degree, with a concentration in Business, Accounting, Finance, or other related discipline; JD or LLM/MLS in corporate compliance is preferred2+ years of relevant work experience with a financial institution such as a broker/dealer, registered investment adviser, regulatory agency, or other financial institutionPrior experience with the Investment Advisers Act of 1940Strong written and verbal communication skills, including the ability to adapt your style depending on the audience and subject matterExcellent project and time management skills with the ability to handle multiple priorities, meet deadlines and develop process efficiencies where requiredA quick learner with a strong work ethic40172Seniority level Seniority level AssociateEmployment type Employment type Full-timeJob function Job function LegalIndustries Investment ManagementReferrals increase your chances of interviewing at Atlantic Group by 2xInferred from the description for this job 401(k)Vision insuranceMedical insuranceGet notified when a new job is posted.Sign in to set job alerts for “Compliance Associate” roles. New York, NY $115,000.00-$120,000.00 1 week agoNew York City Metropolitan Area $125,000.00-$140,000.00 1 week agoNew York City Metropolitan Area $90,000.00-$125,000.00 2 weeks agoNew York City Metropolitan Area $120,000.00-$160,000.00 5 days agoNew York City Metropolitan Area $100,000.00-$130,000.00 6 days agoNew York City Metropolitan Area $125,000.00-$203,000.00 3 weeks agoNew York City Metropolitan Area $150,000.00-$200,000.00 3 weeks agoNew York City Metropolitan Area $100,000.00-$130,000.00 6 days agoNew York City Metropolitan Area 3 weeks agoNew York, NY $55,000.00-$75,000.00 3 weeks agoNew York City Metropolitan Area 2 weeks agoNew York City Metropolitan Area $150,000.00-$300,000.00 1 week agoBrooklyn, NY $90,000.00-$110,000.00 1 month agoAssociate - Regulatory Compliance (Private Funds) Part Time Remote Chief Compliance Officer - NYC/Remote New York City Metropolitan Area $100.00-$300.00 3 weeks agoNew York City Metropolitan Area $150,000.00-$180,000.00 3 weeks agoNew York, NY $135,000.00-$160,000.00 4 weeks agoNew York City Metropolitan Area $110,000.00-$150,000.00 5 days agoNew York City Metropolitan Area $48,000.00-$55,000.00 4 weeks agoNew York City Metropolitan Area $175,000.00-$250,000.00 4 weeks agoHealthcare Regulatory Compliance Specialist New York, NY $90,000.00-$90,000.00 2 weeks agoNew York, NY $120,000.00-$160,000.00 3 days agoCompliance Specialist - Private Healthcare New York City Metropolitan Area $90,000.00-$95,000.00 6 days agoNew York City Metropolitan Area 2 weeks agoWe're unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.#J-18808-Ljbffr