Taylor Root · 6 hours ago
Compliance Associate/Compliance Counsel
NYC Metro Area
Full-time
Hybrid
Entry, Mid Level
2+ years expTaylor Root is a well-regarded global alternative investment firm seeking a Compliance Associate or Compliance Counsel to support the Chief Compliance Officer in administering the firm’s investment adviser compliance program. The role involves conducting forensic testing, assisting with regulatory examinations, and monitoring trading activities while staying updated on securities law and regulation.
EmploymentHuman ResourcesRecruiting
Hiring Manager
Lisa Cavanaugh
Responsibilities
Conducting forensic testing and surveillance to identify and resolve potential compliance issues
Assisting with regulatory examinations, compliance policies and procedures, conflicts, regulatory filings and compliance training related to code of ethics
Monitoring private fund trading and employee personal trading
Staying current on securities law and regulation
Qualification
Required
Two to five years of working knowledge of complex investment strategies and financial products, especially fixed income and derivatives
Familiarity with major securities laws and regulations, including the Investment Advisers Act and Investment Company Act
Experience at the SEC, law firm, or within a compliance function at an SEC-registered investment adviser
Preferred
J.D. or L.L.M
Company
Taylor Root
Taylor Root specializes in recruiting for legal associate jobs, compliance jobs, and risk jobs
201-500 employees
Funding
Current Stage
Growth StageCompany data provided by crunchbase