Location: Midtown Manhattan & Greenwich, CT
Compensation: $140K - $160K base + bonus
A top alternative asset management firm is seeking an Associate to join the Compliance team. We are seeking candidates with strong attention to detail, intellectual curiosity, excellent communication and analytical skills, and interest in working in a dynamic and team-based environment.
Responsibilities:
- Handle quarterly compliance testing activity in Credit group for BDCs
- Assist with quarterly compliance reviews with BDC outside consultant
- Assist with completing 1940 Act Checklists for BDC related deals
- Create materials presented quarterly/annually to the BDC’s Board of Directors and Audit Committee
- Assist with preparing various regulatory filings
- Facilitate the compliance requirements associated with the investment process
- Handle AML/KYC screening with respect to new investments
- Facilitate the onboarding of new employees
- Support other compliance projects
- Coordinate conflicts checking for credit platform
Qualifications:
- Bachelor’s degree from an accredited college/university
- JD is a plus
- Minimum of two years of relevant compliance experience (financial services and Investment Company Act, a plus)
- Excellent oral and written communication skills
- Highly organized, detailed-oriented and ability to multi-task
- Energetic with strong leadership, highly collaborative and strong project management skills
- Proficiency with Word, Excel, PowerPoint, Adobe
