What are the responsibilities and job description for the Senior Compliance Associate position at Unio Capital LLC?
Senior Compliance Associate
About the Role
Unio Capital, a fast-growing institutional investment management firm and SEC-registered investment adviser based in Princeton, NJ, is looking for a Senior Compliance Associate to join a well-established compliance program, with a clear path toward the Chief Compliance Officer position for the right candidate. You'll work closely with our compliance consultants, firm management, and other key service providers to develop and maintain compliance policies and procedures for the firm. This is a hybrid role based in our Princeton office.
Key Responsibilities
● Shape policies and procedures under the Investment Company Act, the Investment Advisers Act and other applicable regulations, keeping the firm ahead of regulatory requirements and industry best practices.
● Partner with key stakeholders across the firm to develop and maintain compliance policies.
● Stay ahead of regulatory change through ongoing tracking, monitoring, and analysis.
● Prepare the Chief Compliance Officer's reports for Boards, management, and regulatory authorities, including the SEC.
● Drive the development and distribution of compliance communications firm-wide.
● Take on ad hoc projects and initiatives as they arise.
Qualifications
● Bachelor's degree.
● 10 years of compliance experience in the asset management industry, with deep knowledge of the Investment Company Act and the Investment Advisers Act.
● A track record of building and enhancing compliance policies and procedures.
● Sharp writing skills — you can turn complex regulatory requirements into clear, actionable policy.
● Highly organized, with the ability to manage multiple priorities and deadlines.
Compensation & Benefits
● Salary range: $175,000–$200,000, inclusive of discretionary merit-based bonus (based on several factors including, but not limited to, experience, education, skills, team and firm performance)
● 100% company-paid medical insurance
● 15–30 days PTO based on years of service
● Hybrid work environment; free catered meals on in-office days
Unio Capital does not offer immigration sponsorship for this position.
Unio Capital, a fast-growing institutional investment management firm and SEC-registered investment adviser based in Princeton, NJ, is looking for a Senior Compliance Associate to join a well-established compliance program, with a clear path toward the Chief Compliance Officer position for the right candidate. You'll work closely with our compliance consultants, firm management, and other key service providers to develop and maintain compliance policies and procedures for the firm. This is a hybrid role based in our Princeton office.
Salary : $175,000 - $200,000