Dynamics Executive Search · 1 day ago
Compliance Associate
NYC Metro Area
Full-time
Onsite
Mid Level
3+ years expDynamics Executive Search is representing a leading global alternative investment manager that invests across a wide spectrum of strategies. They are seeking a Compliance Associate to support compliance oversight for the firm’s global credit platform, collaborating with various teams and ensuring adherence to regulations.
BankingConsultingFinancial Services
Hiring Manager
Scott Grossman
Responsibilities
Advise investment professionals and business groups on compliance-related matters, including affiliate considerations, conflicts of interest, and cross-trade policies
Conduct trade oversight reviews including allocations, fair pricing, and valuation support
Monitor compliance with pre- and post-trade investment guidelines and fund restrictions
Review electronic communications and investigate trade surveillance alerts
Partner with broader compliance functions to support the credit investment business
Assist in the preparation and submission of regulatory filings for private funds and investment vehicles
Identify and escalate potential conflicts of interest, coordinating resolutions in collaboration with business and compliance leadership
Enhance and maintain compliance testing processes and operational workflows
Support internal audits, regulatory examinations, and inquiries
Coordinate with third-party consultants and internal stakeholders on compliance testing and documentation
Qualification
Required
Minimum of 3 years of experience in a compliance role within the asset management or financial services industry
Strong understanding of investment management and private fund structures
Familiarity with credit strategies such as loan trading, direct lending, securitized products, and distressed debt
Working knowledge of information barriers, wall-crossing processes, and cleansing protocols
Excellent written and verbal communication skills; ability to effectively present complex concepts to stakeholders
Exceptional organizational skills and attention to detail
Ability to thrive in a dynamic, fast-paced environment with multiple priorities
Collaborative mindset and a proactive, solutions-oriented approach
Company
Dynamics Executive Search
Dynamics is a leading executive search firm providing premier talent to top companies in the financial services industry.
11-50 employees
Funding
Current Stage
Early StageLeadership Team
Scott Grossman
President
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