What are the responsibilities and job description for the Compliance Associate position at Arrow Search Partners?
About The Company
Our client is a leading global investment firm overseeing more than $75 billion in AUM, with a diversified strategy spanning leveraged loans, high-yield credit, asset-based leasing, and private equity.
Responsibilities
$110,000-$135,000
Our client is a leading global investment firm overseeing more than $75 billion in AUM, with a diversified strategy spanning leveraged loans, high-yield credit, asset-based leasing, and private equity.
Responsibilities
- Support the development, implementation, and ongoing maintenance of compliance policies and procedures in accordance with Rule 206(4)-7 under the Investment Advisers Act of 1940
- Monitor and enforce controls related to material non-public information, restricted lists, and adherence to fund guidelines across a range of investment strategies
- Conduct routine, targeted, and ad hoc compliance testing and surveillance to identify, escalate, and remediate potential violations
- Partner closely with investment professionals and cross-functional teams to provide compliance guidance
- Assist with AML/KYC processes and broader compliance initiatives
- Contribute to special projects and supporting team-wide priorities as needed
- Bachelor’s degree required
- 4-6 years of related compliance experience within financial services
- Knowledge of the Investment Advisers Act of 1940
- Knowledge of general regulatory frameworks
- AML/KYC knowledge preferred
- Proficiency in Microsoft Excel and other standard business tools
$110,000-$135,000
Salary : $110,000 - $135,000