Associate Director, Investment & Trading Compliance

Join a respected New York asset management firm as Associate Director, Compliance and Regulatory Reporting. Ideal for detail‑driven professionals with regulatory reporting and forensic testing expertise, the role partners with back office, trading and front office teams to deliver reliable compliance. It offers strong development, collaborative culture, flexible working and generous pension support, strong training, complex regulatory exposure, and leaders who value balance.

Key Responsibilities:

As Associate Director of Compliance and Regulatory Reporting, you will ensure trading activities adhere to client guidelines, internal policies, and regulatory requirements. The role involves close collaboration with multiple teams to review reports, manage alerts, prepare filings, and respond to client requests. You will apply strong organizational and analytical skills to identify process improvements and manage complex reconciliations. The position offers meaningful professional growth through exposure to advanced regulatory reporting and forensic testing challenges.

• Assess pre‑trade and post‑trade compliance alerts with trading and back‑office teams to ensure adherence to client guidelines and internal policies.
• Review daily compliance and trading reports, identifying and resolving issues across departments.
• Prepare and submit regulatory filings and disclosures, including Section 13 and foreign ownership requirements, with accuracy and timeliness.
• Respond to client reporting requests and prepare certifications by collaborating with Relationship Management, Legal, Compliance, Portfolio Management, and IT.
• Drive process improvements, maintain compliance documentation, and perform reconciliations and special projects to strengthen the overall compliance framework.

Key Requirements:

You bring strong asset management experience with deep knowledge of capital markets instruments and their regulatory frameworks. Your collaborative interpersonal skills enable effective partnership across legal, compliance, technology, and relationship management teams. You excel at analyzing complex reports, exercising sound judgment under pressure, and managing multiple priorities with precision. A commitment to continuous learning, paired with Bloomberg proficiency and an inclusive mindset, makes you a valued and dependable team member.

• Bachelor’s degree with at least five years of experience in an asset management environment.
• Strong knowledge of capital markets, including fixed income, equities, derivatives, and core U.S. financial regulations; foreign regulatory experience is a plus.
• Proven ability to work both independently and collaboratively, demonstrating initiative and teamwork.
• Excellent analytical, organizational, time‑management, and communication skills to manage multiple priorities effectively.
• Proficiency in Bloomberg and related software; SIE and Series 7 preferred or willingness to obtain.

What sets this company apart:

This organization fosters an inclusive, collaborative culture where every contribution is valued and supported by approachable leadership. Employees benefit from flexible working arrangements, generous pension contributions, and ongoing training within a knowledgeable professional network. Compassion and professionalism are embedded in daily work, with shared success, seamless processes, and strong team connection at every level.

What's next:
If interested in this position, please contact Daniela Garcia at Daniela.garcia@robertwalters.com