Senior Associate – Compliance
Los Angeles, New York, United States of America
Full Time
6 hours ago
$95,000 - $130,000 USD
No Visa Sponsorship
About this role
Role Overview
- Support in the administration of the firm’s BDC compliance program
- Assist in the preparation and maintenance of regulatory filings, including Form ADV and related disclosures
- Execute compliance testing and monitoring activities in accordance with Rule 206(4)-7 under the Investment Advisers Act of 1940
- Provide support for compliance obligations under the Investment Company Act of 1940, including maintaining and updating compliance documentation, policies, and procedures
- Support the firm’s global data privacy program, including data collection, documentation, and process tracking
Requirements
- 3–5 years of compliance experience within an investment adviser, asset manager, or financial services firm
- General knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940
- Proficient in Microsoft Office applications, including Word, Excel, PowerPoint and Outlook
- Outstanding initiative, motivation and detail orientation with strong work ethic and excellent organizational skills
- Ability to work well under pressure and with time constraints
Benefits
- Competitive base salary
- Discretionary bonus incentives
- Comprehensive benefits package
- Flexible work arrangement