71 Associate, Compliance Jobs in New York, NY
Monroe Capital is Hiring an Associate, Compliance Near New York, NY
The Associate of Compliance will assist the Chief Compliance Officer in implementing and maintaining the Firm's strategy, programs, policies, and practices with regards to regulatory compliance and risk mitigation for its registered investment advisor entities. The Firm is seeking a candidate that will bring valuable expertise and be able to effectively communicate with internal and external stakeholders on complex compliance matters in a direct and simple manner.
The Associate of Compliance must be confident and proactive, with the versatility of assisting and managing micro and macro compliance activities and actions. The Associate of Compliance will be charged with supporting multiple areas of the business as well as assisting the CCO with further developing and maintaining the Firm’s compliance program as the Firm continues to grow and expand.
Responsibilities:
- Assist with further developing and managing the Firm’s risk management program, including in-depth analysis of procedures within various departments to identify process improvements in terms of efficiency (including systems recommendations) and risk mitigation.
- Assist with updating and maintain the compliance programs for the Firm’s registered investment advisors and our business development companies.
- Serve as a compliance liaison with the legal department relative to other activities that impact the Firm (contracts, service provider agreements/updates, onboarding new technology platforms, licensing agreements) as well as fund offering materials and registrations.
- Assist all regulatory reporting, including, but not limited to Form ADV, Form PF, US and Non-US regulatory filings associated with fund offerings.
- Manage outsourced third-party compliance relationships (vendors, consultants, etc.).
- Foster a compliance culture for efficiently and effectively managing compliance throughout the organization.
- 1-4 years of related experience (within the compliance function of a SEC-registered investment adviser or with a law firm specializing in the investment advisory industry).
- Knowledge of sophisticated investment offerings across multiple jurisdictions is a plus, ideally with a focus on private credit and/or exposure to private equity style funds, BDCs, real estate and other emerging products.
For New York City Applicants only: The expected annual base salary range for this position is $70,000- $100,000. The selected candidate salary is based on numerous factors such as, but not limited to work experience, relevant education, qualifications, certifications, skill level, and geographic location. This is the current estimate of the base salary range intended for this role at the time of this posting. The base salary range may be modified in the future. This position is also eligible for an annual discretionary bonus.
Job Summary
Full Time
Investment Management
$95k-119k (estimate)
06/24/2024
07/27/2024
monroebdc.com
CHICAGO, IL
200 - 500
2004
Public
THEODORE L KOENIG
$50M - $200M
Investment Management
Related Companies
About Monroe Capital
Monroe Capital is a Illinois-based business development company that provides debt financing and equity investments to lower middle-market companies in the USA and Canada.
The following is the career advancement route for Associate, Compliance positions, which can be used as a reference in future career path planning. As an Associate, Compliance, it can be promoted into senior positions as a Compliance Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Associate, Compliance. You can explore the career advancement for an Associate, Compliance below and select your interested title to get hiring information.
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