Compliance Associate
Arrow Search Partners
New York, NY
Finance / Banking / Insurance, Sales / Marketing
Our client is a leading global investment firm overseeing more than $75 billion in AUM, with a diversified strategy spanning leveraged loans, high-yield credit, asset-based leasing, and private equity.
Responsibilities
- Support the development, implementation, and ongoing maintenance of compliance policies and procedures in accordance with Rule 206(4)-7 under the Investment Advisers Act of 1940
- Monitor and enforce controls related to material non-public information, restricted lists, and adherence to fund guidelines across a range of investment strategies
- Conduct routine, targeted, and ad hoc compliance testing and surveillance to identify, escalate, and remediate potential violations
- Partner closely with investment professionals and cross-functional teams to provide compliance guidance
- Assist with AML/KYC processes and broader compliance initiatives
- Contribute to special projects and supporting team-wide priorities as needed
- Bachelor’s degree required
- 4-6 years of related compliance experience within financial services
- Knowledge of the Investment Advisers Act of 1940
- Knowledge of general regulatory frameworks
- AML/KYC knowledge preferred
- Proficiency in Microsoft Excel and other standard business tools
$110,000-$135,000
About the company
Company website•Staffing and Recruiting
WHAT WE STAND FOR
We’re more than just a search firm. And you’re more than just a future partner.
At Arrow Search Partners, we understand that every client and candidate is unique. That’s why our top priority is getting to know you and your specific goals. By getting personal with our clients and candidates, we ensure that every job we place is always on target.
WHAT WE DO
Arrow Search Partners is an executive recruiting firm specializing in placements across a wide range of industries on a permanent, temporary and temporary to permanent basis.
Our Executive leadership has over 50 years of combined recruitment experience and our goal is to continually position our clients and candidates for success.
We focus on personalizing every touchpoint throughout your experience with us. We invest our time in you, so you feel confident about investing your time with Arrow.