Job Title: Associate, Regulatory Compliance

Department: Legal & Compliance

Reports To: Vice President, Regulatory Compliance

FLSA Code: Non-Exempt

Estimated Salary: $80,000 - $90,000

Job Summary:

Join a team of experienced professionals who administer a global program for compliance with federal securities and commodity laws, rules of self-regulatory organizations and equivalent requirements in non-US jurisdictions. The team partners across business areas to establish, maintain and develop strong client relationships and effective controls to thoughtfully manage an integrated compliance program that is reflective of the developing domestic and international regulatory landscape. Our program governs registered advisers, registered funds, a limited purpose broker-dealer and private/non-listed investment products.

The Regulatory Compliance team also provides training and guidance to employees concerning their daily compliance responsibilities, including areas such as gifts and entertainment, political contributions, related persons, outside business activities, and regulatory licensing and registration. The successful candidate will have experience with a U.S. registered adviser or registered fund and will also possess intense curiosity, strong work ethic, excellent verbal and written communication skills.

Major Responsibilities/Activities:

• Assist in the development, maintenance and implementation of the firm's registered adviser and registered fund compliance programs
• Conduct employee compliance training, and ensure adherence with the Firm's Code of Ethics and associated personal account reporting requirements
• Employee personal trade preclearance and reporting
• Perform periodic testing and monitoring of compliance policies and procedures
• Electronic communications review
• Perform special projects and ad hoc assignments that are accretive to the firm's overall compliance program, as required

Minimum Requirements:

• Bachelor's degree required
• 1 to 3 years of general compliance experience at a registered adviser including some combination of preclearance, surveillance and/or reporting
• Excellent computer skills and knowledge of MS Office, including Outlook, Word, Excel, and PowerPoint
• Excellent communication skills (effective in oral, written and presentation settings
• Strong interpersonal skills with the ability to build relationships within and outside the company
• Careful and thorough, with particular attention to detail
• Demonstrates inclusive behaviors in support of a culture that values diverse perspectives
• Agrees to comply with the firm's hybrid work policy ("work from home policy," as aligned with the Company's employee handbook), which currently requires reporting to the Company's New York City office four (4) days per week, with one (1) remote workday permitted

Note: This job description reflects management's assignment of essential functions; it does not prescribe or restrict the tasks that may be assigned. The job title or duties and responsibilities may be changed by the Company at any time.