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Compliance Associate

  • Location:

    New York

  • Sector:


  • Salary:

    $100,000 - $160,000

  • Contact:

    Lucy Phillips

  • Contact email:

  • Contact phone:

    +1 256 332 0130

  • Job ref:


  • Published:

    10 months ago

  • Expiry date:


​Our Client

Our client, a global leader in alternative Investment Management are in the market for a Compliance Associate in New York. The firm has over $50+bn in assets investing across private markets.

Main Duties

Key responsibilities for this position will include, but are not limited to:

  • Manage all Code of Ethics tasks including monitoring personal trading, onboarding new accounts and tracking of compliance affirmations

  • Develop the policies and procedures necessary to comply with the Advisors Act in connection with firm’s operations by working with compliance, operations, and senior fund counsel.

  • Collaborate with the legal function on the drafting of fund documentation and develop policies and procedures to manage fund and investment restrictions

  • Assist the Global Head of Compliance and Counsel with other day-to-day functions and compliance projects, including shared ownership of global Compliance projects in which the Compliance department may participate

  • Provide compliance training to the wider business and relevant stakeholders

  • Support the Investment & Sales teams on ad hoc tasks relating to various regulatory requests

Your Profile

  • 2-6 years’ experience in an asset manager or law firm with experience supporting private funds

  • A core competency in topics relating to investment fund compliance and regulatory landscape

Expected salary range for this role : $100,000 - $160,000. In addition – you will be eligible for a discretionary bonus and best-in-class benefits.

For more information about this position, please get in touch with Lucy Phillips.
Phone: +1 (223) 256 0130
Reference Code: 11852

About Rutherford
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance recruitment, and also in financial crime, legal and cyber security, all within the financial, professional and legal services sectors in the United Kingdom, New York and China. We use our carefully curated relationships, networks and market knowledge to find the best fit for the clients in hand. We work with a wide range of clients, spanning from advisors, management consultants, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms, investment banks and technology firms. We began as a compliance recruitment firm in London and expanded to offer new resourcing expertise across legal and cyber recruitment. We have been a leading legal and compliance search agency in London for a decade and are excited about bringing our expanded offering into the technology area.