What are the responsibilities and job description for the Compliance Associate position at Taylor Root?
We are partnering with a leading global investment management firm to hire a Compliance Associate to support a fast-growing investment platform. This is a highly interactive, business-facing role suited for candidates who want exposure to active investment teams rather than a traditional centralized compliance function.
The role sits close to the trading and investment process and offers meaningful visibility into portfolio construction, guideline monitoring, and day-to-day stakeholder engagement.
Responsibilities:
- Perform pre-trade and post-trade investment guideline monitoring across strategies
- Support portfolio compliance oversight, including identification, escalation, and resolution of guideline breaches
- Partner closely with trading desks and investment teams on compliance-related matters
- Conduct trade surveillance and other ongoing monitoring activities
- Assist with documentation, reporting, and process improvements within the compliance function
- Handle complex or non-routine scenarios requiring sound judgment and technical analysis
- Contribute to tooling, data analysis, and workflow enhancements
Required Qualifications:
- 2 years of experience in investment compliance
- Hands-on experience with trade surveillance, portfolio compliance, pre- and post- trade monitoring
If you have two years of compliance experience but do not have experience specifically in trade surveillance, etc., please feel free to apply in as they will consider strong applicants in general. If you have just under 2 years but relevant, targeted experience, please apply in as well.
Salary : $120,000 - $150,000