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Regulatory Compliance Associate

The Regulatory Compliance Team

We help to oversee the compliance related activities associated with managing the complex legal and regulatory needs of the firm on a global basis. We are responsible for managing the firm’s compliance policies and procedures, meeting regulatory reporting obligations, conducting the firm wide internal assessment program, managing third-party control examinations and administering the Code of Ethics. Completing these responsibilities requires extensive collaboration with colleagues throughout the organization.

We are seeking an experienced compliance professional to join our team to provide pro-active compliance support to our institutional asset management business with a primary focus on overseeing our Code of Ethics.  The position will afford an individual with opportunities to apply their experience and analytical skills to a wide variety of projects and enhancements within our compliance program.  This individual will have demonstrated expertise supporting a global compliance effort on a wide variety of matters. We believe strongly in the development and mentoring of our professionals.


  • Support day-to-day efforts to support employees and monitor compliance with Code of Ethics, Political Contribution, Gifts and Entertainment policies
  • Documenting and updating procedures related to the Code of Ethics
  • Assisting in completing compliance testing
  • Support our compliance effort relative to our regulatory registrations and exemptions
  • Actively identifying and contributing to opportunities to automate, enhance, implement, and maintain our policies and procedures to mitigate risk areas
  • Collaborating across departments within the firm to provide guidance on various policies

Our Ideal Candidate

  • Is able to thrive in a dynamic, fast paced environment and prioritize under tight deadlines
  • Has excellent interpersonal, verbal and written communication skills and is able to work collaboratively with employees throughout the organization
  • Has the ability to prioritize and effectively manage competing priorities and projects
  • Is a self-starter that works proactively and thinks both strategically and tactically
  • Is knowledgeable of, and experienced with, industry best practices in compliance surrounding Code of Ethics programs
  • Identifies opportunities to improve existing processes and procedures
  • Maintains a superior work ethic, has strong analytical and organizational skills and a strong attention to detail


  • Bachelor’s Degree
  • Excellent written and verbal communication and presentation skills 
  • Familiarity of the Financial Services industry via academic experience