Cardea Group · 23 hours ago
Senior Compliance Associate
New York, United States
Full-time
Onsite
Mid, Senior Level
$120K/yr - $175K/yr
3+ years expCardea Group is a leading diversified asset management firm with over $50B in AUM, seeking a high-caliber Compliance Associate to support its growing platform. The role involves serving as the primary compliance point for registered fund matters and enhancing compliance monitoring systems while collaborating with various teams within the firm.
Asset ManagementConstructionFinancial ServicesProfessional Services
Responsibilities
Serve as the primary compliance point for registered fund matters, including Investment Company Act requirements, investment restrictions, liquidity classifications, valuation oversight, and board reporting
Conduct ongoing portfolio and trade surveillance to ensure adherence to regulatory requirements, client mandates, and internal policies
Review and monitor trade restrictions, escalation items, and post-trade testing exceptions
Build and enhance compliance monitoring systems, testing calendars, and forensic review workflows
Assist with regulatory filings, including registration statements, Form ADV, shareholder reports, N-PORT, and N-CEN
Support responses to regulatory exams, audits, and inquiries in partnership with counsel, fund administrators, and internal teams
Maintain and update compliance policies and procedures; track regulatory developments and translate them into practical internal guidance
Partner closely with Portfolio Management, Capital Formation, Operations, Accounting, Legal, and external administrators to ensure consistent compliance standards
Qualification
Required
3–6 years of compliance experience within an investment adviser, asset manager, fund administrator, or regulatory environment
Strong working knowledge of the Investment Company Act of 1940 and registered fund compliance requirements
Demonstrated ability to manage recurring testing, monitoring, and regulatory processes independently
Strong analytical and organizational skills; able to balance multiple priorities effectively
Excellent written and verbal communication skills with the ability to explain complex regulatory matters clearly
Proficiency in Excel and compliance monitoring tools; comfort working with data and reporting
Benefits
Competitive bonus
Company
Cardea Group
Cardea Group is an Asset Management company.
2-10 employees
Funding
Current Stage
Early StageRecent News
2022-07-30
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