Compliance, Asset Management Compliance, Associate, New York

Asset Management (“AM”) Compliance

We are seeking a compliance Associate to join the AM Compliance team in New York.  AM Compliance provides daily advice to AM’s various business teams on portfolio management, investing and lending activities, fundraising, the Investment Advisers Act, Investment Company Act, ERISA, and other various regulatory requirements. The individual will assist with managing complex regulatory audits focused on ERISA compliance and, in doing so, will interact with different business lines and control functions, including AM’s Portfolio Management teams, Sales, Finance, Operations, Engineering, Legal, and Internal Audit.  This is a highly collaborative role that will require excellent communication skills and strong project management skills. The ideal candidate will have a strong interest in understanding AM’s business model and operational processes, as well as leveraging strong communication and relationship-building skills in frequent interactions with internal stakeholders and external auditors. The role requires excellent writing and project management skills, a strong understanding of applicable regulatory requirements, and the ability to communicate complex information clearly and concisely.

Principal Responsibilities:
•    Assist with maintaining the compliance programs for SEC registered advisers, with an emphasis on ERISA
•    Assist with managing a complex regulatory audit, including interfacing with auditors regarding information requests and the firm’s responses
•    Conduct informational interviews and gather responsive documentation
•    Prepare written responses to information requests
•    Coordinate meetings with auditors
•    Advise internal stakeholders on auditors’ expectations and prior firm interactions
•    Persistently follow-up with colleagues to ensure that appropriate information is obtained and timely recorded
•    Monitor the firm’s progress in completing undertakings made to auditors during the course of the audit
•    Keep detailed records of regulatory correspondence
•    Advise internal stakeholders on potential enhancements to firm processes and controls identified during regulatory interactions
•    Develop, draft and maintain compliance policies and procedures outlining firm requirements, regulations and best practices
•    Create and deliver compliance trainings

Qualifications:
•    Bachelor's degree required
•    3+ years of Compliance, Legal, Regulatory or Financial Services industry experience
•    Excellent communications skills (oral and written), judgment, organizational skills, and project management skills
•    Ability to handle multiple tasks simultaneously and work in a fast-paced environment
•    Experience with ERISA regulations applicable to asset managers a plus