< All Careers


Compliance Associate



Job Description

The Compliance Associate reports to the Senior Compliance Manager and will assist with the Firm’s global compliance program, with an emphasis on regulatory filings; marketing material review; and administration of the Firm’s policies and procedures related to the supervision of various employee-related activities, such as periodic certifications, gifts and entertainment, outside business activities, and political contributions.

Additional skills required include:

  • Understanding and practical application of Investment Advisers Act of 1940;
  • Personal trading compliance system experience (such as ComplySci);
  • Understanding of SEC Advertising Rules;
  • Proficiency in the use of Microsoft Office, particularly Microsoft Excel.


BA/BS, preferably with a concentration in business, finance, or accounting


2-4 years' compliance experience at a SEC-registered investment adviser

Submit Resumé