The Compliance team is looking to add a Sr. Associate to their team in Darien, CT. This role offers a high degree of visibility and opportunity for advancement.
THE SUCCESSFUL CANDIDATE IS EXPECTED TO:
- Assist in supervising/analyzing the firm's compliance program and advocating for a strong culture of compliance with all employees
- Maintain firm's Compliance Manual and perform annual compliance assessment
- Monitor employee's compliance with firm's Code of Ethics, including personal trading policies
- Aid in regulatory filings, such as Form PF, 13F, 13H, 13G, ADV, etc.
- Ensure compliance in regulatory matters throughout the business development and investor relations processes
- Maintain up-to-date knowledge of industry best practices to further develop effective compliance policies and procedures
- Review contracts, NDA's, vendor agreements
- Monitor cybersecurity of the firm, including penetration/vulnerability testing, disaster recovery testing and mock-phishing exercises
- Coordinate firm-wide compliance training, sexual harassment training and cybersecurity training
QUALIFICATIONS:
- The ideal candidate will have at least 4 years of experience working at an SEC-registered investment advisor and/or a compliance advisory firm
- The candidate must be proactive, a self-starter and possess strong verbal and written communication skills
- Ability to write policies and prepare footnote/compliance disclosures
- Must be comfortable wearing several hats and juggling diverse requests
- Ability to comfortably handle pressures and deadlines of a high-growth, fast-paced and demanding environment
- Knowledge of MNPI rules and expert network monitoring is strongly preferred
- Knowledge of SEC private fund requirements
- Bachelor's degree required
- Exceptional written and verbal communication skills
- Proficiency in Microsoft 365 - Word, Excel, and PowerPoint
- Strong analytical, strategic, and problem-solving skills
- Impeccable attention to detail
- Ability to work under time pressure
- Ability to interface with multiple systems to acquire needed information
- Confidence to interact with all levels of management, both internally and external
Total AUM estimated as of March 31, 2026.
