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Compliance Associate

  • Location:

    New York

  • Sector:


  • Job type:


  • Contact:

    Ali Hughes

  • Contact email:

  • Contact phone:

    +1 332 256 0130

  • Job ref:


  • Published:

    about 1 month ago

  • Expiry date:


​Our Client

Our client, a rapidly-growing New York based private equity fund, is currently seeking a Governance and Marketing Associate for its Compliance team. The main purpose of this role will be to assist the firm with corporate governance activities.

The successful candidate will be asked to review compliance marketing materials on a vast array of communications.

Main Duties

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

  • Reviewing the firm’s marketing materials to ensure they are SEC and FINRA compliant

  • Proactively coordinating with other departments to ensure the timely review and approval of all communications

  • Conducting compliance monitoring programs in relation to marketing collateral

  • Updating policies and procedures

  • Assisting the Compliance team on any ad hoc project or task

  • Maintaining, tracking and managing entity management systems

  • Responding to requests from auditors, regulators and other stakeholders

Your Profile

  • Educated to a degree level, JD or equivalent beneficial though not essential

  • At least 2 years of compliance marketing experience

  • Previous experience working for an investment or wealth manager - fintech industry beneficial

  • Previous experience with BluePrint, Hcue or GEMS is beneficial for this position

For more information about this position, please get in touch with Ali Hughes.
Phone: +1 332 256 0130
Reference Code: 11501

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 and professional services sectors in the United Kingdom and New York. 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.