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Atlantic Group · 3 days ago

Compliance Associate (Investment Management)

New York, NY

Full-time

Hybrid

Entry Level

$85K/yr - $100K/yr

1+ years exp

Atlantic Group is hiring a Compliance Associate (Investment Management) in New York, NY, supporting employee compliance monitoring and regulatory filings. The role involves working with the CCO on personal trading oversight, electronic communications review, and various compliance-related tasks.

B2BHuman ResourcesStaffing Agency

Growth Opportunities

Responsibilities

Review electronic communications, preclear and monitor personal trading, political contributions, outside activities, and gifts & entertainment, including support for broker feed setup

Assist with Blue-Sky filings, Form PF, Form 13F, and other SEC, state, and regulatory reporting requirements

Coordinate registrations, renewals, and required filings for public pension-related marketing and ensure employees consult Compliance before related activities

Support forensic testing, annual reviews, mock SEC exams, and assist with reviewing marketing materials and DDQs for regulatory alignment

Maintain committee meeting minutes, chaperone expert network calls, support onboarding and broker counterparty requests, and contribute to special compliance projects

Qualification

Compliance experienceSmarshSEC regulationsMicrosoft OfficeAnalytical skillsCommunication skillsDetail-orientedOrganizational skills

Required

Bachelor's degree in Finance, Economics, Business, Legal Studies, or a related field required

1-2 years of compliance experience in investment management or related industries with exposure to personal trading oversight, regulatory filings, or monitoring tools

Experience with compliance platforms and electronic communication review tools such as Smarsh, with strong proficiency in Microsoft Office

Understanding of SEC regulations, advisory compliance, personal trading rules, marketing reviews, and investment management operations

Highly organized, detail-oriented self-starter with strong analytical and communication skills who can manage competing priorities in a fast-paced environment