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The SEC Compliance Associate position is a generalist role, joining a growing and dynamic team of top tier talent who have worked at well known Asset Managers, Hedge Funds and the SEC itself. The role would cover the below duties:
Periodic Compliance Reviews
Annual Compliance Reviews
Day-to-day management of Compliance function
Ad Hoc Advice as needed
Registrations with SEC, CFTC, FINRA
Building domestic and global compliance infrastructure
Mock regulatory exams
Thematic compliance reviews
Marketing Material Review
2+ years SEC / Investment Compliance experience at an Asset Manager or Hedge Fund
The Securities and Exchange Commission (SEC) Regulatory knowledge
This SEC Compliance Associate role is located in Midtown New York so please only apply if you are able to travel to this location, and have relevant recent experience. The salary is flexible dependent on experience however the initial range is $75-85k base plus bonus.
If your profile matches the above criteria, please contact me on **email@example.com**
Internal Number: 6501158
About Robert Half - US
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