Compliance Associate Global Investments (A+ Mentorship)

We are working on a confidential search for a Compliance Associate to join the compliance team of a well-established asset manager.

This is a great opportunity for someone with compliance audit legal public accounting or related experience who wants to build a career in investment management compliance. The firm is a registered investment adviser so the role will offer exposure to SEC compliance internal policies and procedures regulatory filings compliance testing employee certifications and cross-functional projects across the business.

The team is collaborative professional and highly visible within the firm. This person will report to a Compliance Manager with additional exposure to the CCO and will work closely with colleagues across investor relations accounting technology operations legal and other internal groups.

Highlights

• Opportunity to join an established real estate investment management platform with a long track record across core core-plus value-add and separate/advisory account strategies.
• Role will support the firms broader compliance program including policies and procedures compliance monitoring testing regulatory filings employee certifications and internal compliance initiatives.
• Exposure to regulatory filings and requests such as Form ADV Form PF Form SHL Form SLT and related compliance deliverables.
• Hands-on involvement with the firms compliance software platform including areas such as personal trading gifts and entertainment outside business activity political contributions and periodic certifications.
• Great opportunity for someone familiar with or interested in learning more about the Investment Advisers Act of 1940 and the regulatory environment for registered investment advisers.
• Regulatory exposure to SEC FINRA CFTC/NFA ERISA private funds or investment adviser compliance is a plus but not required.
• Compensation includes a competitive base salary depending on experience 10% target annual bonus profit sharing 100% company-paid medical/dental/vision premiums additional healthcare reimbursement support complimentary MBTA pass parental leave long-term disability life insurance and other strong benefits