What are the responsibilities and job description for the Compliance Associate position at Cardea Group?
Compliance Associate (New York, NY): Our client, a private equity firm with over $10B in AUM, is seeking a Compliance Associate to join their New York office in a newly-created role. The firm is driven to deliver meaningful returns by supporting forward-thinking companies and leaders working in cutting-edge innovations and solutions, with a focus on healthcare. This role will be key in supporting trade activities and managing the portfolio process, ensuring compliance with both regulatory requirements and internal policies.
Key Points:
- Newly established role based in the New York office, offering a unique opportunity to shape and grow within the position.
- Work directly with the CCO who is exceptional and passionate about mentorship.
- Collaborative, growth-oriented office culture that encourages innovation and continuous improvement
- Supportive environment that values transparency, inclusivity, and open communication
- Work closely with the investment team and develop relationships across the firm
Responsibilities:
- Oversee and approve trading activities to ensure compliance with applicable regulations and internal guidelines.
- Assist in developing, implementing, and updating compliance policies and procedures to meet evolving regulatory requirements.
- Prepare, maintain, and file periodic compliance reports, ensuring accuracy and timeliness.
- Serve as a liaison between traders, portfolio managers, compliance teams, management, and external service providers to address compliance-related matters.
- Conduct training sessions for staff to promote awareness and understanding of compliance guidelines, policies, and procedures.
- Utilize compliance platforms like Enfusion and ComplySci to monitor trading activities and ensure adherence to compliance protocols.
- Stay abreast of evolving regulatory requirements and industry trends. Assess their impact on the firm's operations and implement necessary changes to ensure compliance.
Qualifications:
- Bachelor’s degree with 3-8 years of relevant compliance experience, preferably at the SEC and/or within asset management
- Familiarity with long/short equity
- Excellent organizational skills and strong attention to detail
- Strong technical capabilities and an analytical mindset
- Proficient written and verbal communication skills
Compensation: $150-200k base; up to $300k all-in
Job Reference # 3136525
Salary : $150,000 - $200,000
