Associate - Credit Compliance

This global alternative asset manager is hiring a Compliance Associate for its Credit Compliance team in New York. The role supports private credit strategies, monitors regulatory compliance, and partners with senior leaders across teams. It offers strong growth opportunities in a collaborative, high-performing environment, along with flexible work, training, and advanced technology to support development.

Key Requirements:

As a Compliance Associate – Credit, you will support the daily work of a high-performing compliance team across private credit strategies. You will review trading activity and monitor investment restrictions to ensure accuracy and regulatory compliance throughout the transaction lifecycle. The role involves close collaboration with legal, accounting, technology, and investment teams to meet internal standards and external requirements. You will use strong analytical skills and attention to detail to maintain data integrity and improve workflow efficiency. Clear communication with stakeholders will be essential as you help protect the firm’s reputation and support sound decision-making.

• Review trading activity, allocations, pricing, and valuations to ensure compliance with internal policies and external regulations.
• Assess investments against fund mandates and monitor pre- and post-trade restrictions across private credit strategies.
• Monitor surveillance alerts and review communications to identify, investigate, and escalate potential compliance issues.
• Analyze data, improve compliance processes, and use technology to strengthen reporting, monitoring, and workflow efficiency.
• Work closely with investment, legal, accounting, technology, and compliance teams to support a strong and transparent compliance framework.

Key Responsibilities:

To succeed as a Compliance Associate – Credit, you will bring experience working in complex regulatory environments within financial services. You should have a strong understanding of investment management or private funds operations, ideally supported by knowledge of the Investment Advisers Act of 1940. The role also requires confidence using Microsoft Office for data analysis and an openness to technology, including AI tools that improve efficiency. Strong interpersonal and communication skills are essential, as you will build trusted relationships and handle sensitive matters with professionalism. Above all, you should be highly organized, detail-oriented, and committed to ethical conduct while managing multiple priorities effectively.

• Hold a bachelor’s degree and at least two years of compliance experience within financial services.
• Demonstrate strong knowledge of investment management, private funds, and key regulations including the Investment Advisers Act, SEC, and FINRA rules.
• Bring familiarity with credit products such as loan trading, direct lending, securitizations, or distressed debt.
• Show strong teamwork, communication, organization, and attention to detail while managing multiple priorities in a fast-paced environment.
• Use Microsoft Office confidently and ideally have experience with AI tools, compliance monitoring systems, or trading platforms such as Bloomberg, Charles River, or Smarsh.

What sets this company apart:

This firm stands out as a leading alternative asset manager with a strong culture of collaboration, inclusion, and professional growth. Employees are encouraged to contribute ideas at every level and benefit from training, career development, and global opportunities. Flexible work and strong benefits further support a balanced and rewarding work environment.

What’s next:

If interested in this position, please contact Robert Moseman at robert.moseman@robertwalters.com