JOB TITLE: Compliance Associate

REPORTS TO: Chief Compliance Officer

LOCATION: Long Island

 

GENERAL JOB DESCRIPTION

A prestigious private real estate company with expertise in investment management, property management, development, design, construction, leasing and financing, headquartered in Long Island, is seeking a compliance associate to support the Firm’s Chief Compliance Officer (“CCO”).

The successful candidate will have at least two years of relevant work experience, preferably with private equity and/or real estate funds, and a working knowledge of applicable securities regulations.

The compliance associate will report directly to the CCO and will be expected to support the CCO in handling the day-to-day maintenance of the Firm’s compliance program.

 

RESPONSIBILITIES

The compliance associate shall support the Firm’s CCO, as follows:

  • Ensure compliance policies and procedures are communicated and followed by staff, in compliance with the Firm’s regulatory requirements;
  • Provide day-to-day support in the maintenance of the Firm’s compliance program, including but not limited to: monitoring of employee personal trading and electronic communications; preparation, distribution, collection and analysis of employee disclosure forms; organization and maintenance all required books and records; and IARD maintenance;
  • Assist in preparing and filing quarterly and annual regulatory filings;
  • Support the CCO in conducting staff compliance training;
  • Continuously monitor relevant regulatory changes and assist the CCO in developing internal controls, accordingly.

REQUIRED SKILLS AND ATTRIBUTES

  • Undergraduate degree;
  • Minimum of 2 years’ relevant work experience;
  • Familiarity with regulations governing registered investment advisers and thorough understanding of, and experience with compliance program maintenance, for both private equity and hedge funds;
  • Excellent time management, analytical, written and verbal communication skills;
  • Pro-active, self-motivated, ability to work independently, organized, and hands on;
  • Ability to handle multiple tasks simultaneously and in a timely manner.