• Compliance Associate - Alternative Investments

    Robert Half Finance & Accounting (New York, NY)


    Description

    Robert Half Financial Services are hiring for a Compliance Associate role for a global Alternative Investment firm located in midtown Manhattan. Our client requires 3+ years Investment Compliance experience at the SEC, an asset manager, compliance consultancy firm or investment advisor/wealth manager. The candidate must have Compliance Testing experience relating to SEC, FINRA and CFTC Regulations. The role requires 3 days per week in the midtown Manhattan office.

     

    Reporting to the Head of Core Compliance/Senior Counsel, the role covers the whole compliance program including monitoring/testing, regulatory compliance/risk (SEC, FINRA, CFTC), and employee compliance/personal trading. The role interacts with in-house legal, investment professionals and external compliance advisors.

    Responsibilities

    + Utilize the firm’s risk assessment to develop an annual compliance testing plan.

    + Review firm policies, procedures, records, and operations adhering to SEC, FINRA and CFTC Regulations.

    + Define test step objectives and follow conventional testing methodology.

    + Document testing and findings in a clear and concise manner and maintain work papers that describe the work and analysis conducted.

    + Develop action plans that address root cause and obtain consensus on corrective actions required.

    + Assist the firm with managing regulatory risks through the development, planning and execution of the compliance program.

    + Assist in the execution of the compliance program, including (1) monitoring and testing, (2) supporting the employee compliance system (personal trading, outside business activity, gifts and entertainment, etc.). (3) ad hoc compliance related projects.

    + Maintain system of employees and their personal trading accounts.

    + Electronic linking of employee brokerage accounts and monitoring of accounts that require paper statements.

    + Maintain restricted list and work with investment professionals to identify and remove stale entries.

    + Assist with quarterly attestations, including personal trading.

    Requirements

    Qualifications:

    + 3+ years Investment Compliance experience at the SEC, an asset manager, compliance consultancy firm or investment advisor/wealth manager

    + Compliance Testing experience relating to SEC, FINRA and CFTC Regulations

    + Bachelors Degree

     

    The Compliance Associate role requires 3 days per week in the midtown Manhattan office, so please only apply if you are able to travel to this location, have relevant experience for the role and are eligible to work in the United States. The salary is flexible dependent on experience, the range is $110-140k base plus 20% target bonus and great benefits/work life balance. If your profile matches the above criteria, please add me on LinkedIn and email me directly, Trishan Khareghat

     

    Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.

     

    Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app (https://www.roberthalf.com/us/en/mobile-app) and get 1-tap apply, notifications of AI-matched jobs, and much more.

     

    All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.

     

    • 2025 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use (https://www.roberthalf.com/us/en/terms) .