Compliance Associate Job at Atlantic Group, New York, NY

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  • Atlantic Group
  • New York, NY

Job Description

Location: Midtown Manhattan

Compensation: $130k-$170k + Bonus

Responsibilities:

  • Oversee employee personal trade reviews, certifications, and gift/entertainment requests.
  • Assist with preparation and submission of filings, including foreign ownership disclosures.
  • Facilitate compliance training for employees and ensure seamless onboarding for new hires.
  • Approve, log, and monitor expert network calls to maintain compliance standards.
  • Research, resolve, and escalate compliance issues with actionable recommendations.
  • Serve as a point of contact for third party service provider due diligence
  • Facilitate AML/KYC due diligence, screening, and reporting, ensuring adherence to all relevant laws and regulations.
  • Monitor emerging and evolving regulatory requirements related to Environmental, Social, and Governance (ESG) and other relevant sustainability or impact-related disclosures

Qualifications:

  • 2-6 years of experience in in-house legal and/or compliance department
  • Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as broad knowledge of financial industry compliance programs
  • Strong time management, planning and organizational skills.
  • Ability to work independently but also collaborate in a team-oriented, cross functional and fast paced environment.
  • Strong communication skills.

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