Compliance Associate

Our client is seeking a Compliance Associate in New York, NY. In this role, you will support the firm’s regulatory program, ensuring adherence to the Investment Advisers Act of 1940, lobbying rules, internal policies, and governance standards. You will work closely with senior stakeholders in a collaborative environment that values your contributions, with flexible working arrangements and ongoing training to support your professional development.

Key Responsibilities:
In the capacity of Compliance Associate, you will be entrusted with a broad spectrum of responsibilities central to sustaining the firm's reputation for regulatory distinction. Your daily undertakings will involve close collaboration with various teams throughout the organization as you monitor activities governed by key regulations. You will take initiative in drafting certifications, managing registrations for advisers and lobbyists, preparing detailed reports for government filings, chaperoning sensitive calls to prevent breaches of confidentiality, reviewing requests for policy compliance, maintaining thorough records for audit readiness, partnering with senior leaders on governance matters, coordinating legal documents, and continuously refining compliance processes. Success in this role necessitates not only technical proficiency but also a spirit of cooperation – your ability to work harmoniously with others ensures that every aspect of compliance is managed thoughtfully and comprehensively.

• Support compliance with the Investment Advisers Act of 1940 by diligently monitoring investment activity, disclosures, and reporting obligations across all pertinent business units.
• Draft, review, and manage firmwide certifications to ensure alignment with both regulatory requirements and internal policies, maintaining precision throughout all documentation processes.
• Oversee registration and renewal requirements for the adviser and its lobbyists by thoroughly assessing obligations under federal, state, and municipal regulations.
• Prepare and submit monthly, quarterly, and annual lobbying reports in accordance with applicable laws, ensuring punctual delivery and comprehensive accuracy in every submission.
• Compile Form 5500 Schedule C documentation for clients filing with the U.S. Department of Labor, guaranteeing completeness and strict compliance with external standards.
• Chaperone expert network calls to safeguard against sharing or obtaining Material Nonpublic Information (MNPI), thereby upholding ethical standards within all communications.
• Review and process gifts and entertainment requests by evaluating them against policy thresholds and regulatory expectations, ensuring transparency throughout approval workflows.
• Maintain accurate records and documentation that support audits, compliance testing, and regulatory examinations while contributing to a culture of accountability within the organization.
• Collaborate with senior leadership to prepare precise materials for board and committee meetings that reflect current compliance status and strategic priorities.
• Draft and manage signature page coordination along with legal documentation for the Legal team while maintaining organized compliance files that facilitate ongoing enhancements.

Key Requirements:
The ideal candidate for this Compliance Associate position possesses demonstrable experience within investment advisory or asset management environments where adherence to regulatory frameworks is paramount. Your background encompasses direct involvement with complex compliance matters governed by statutes such as the Investment Advisers Act of 1940 or protocols concerning confidential information. You have consistently exhibited reliability through successful completion of multifaceted assignments—whether preparing lobbying reports or managing sensitive documentation—and possess an inherent ability to communicate clearly across diverse teams. Your approach is characterized by empathy towards colleagues’ needs as well as careful stewardship over confidential information. In addition to technical expertise acquired through formal education (preferably in finance-related disciplines), you display enthusiasm for ongoing development via training opportunities provided by supportive leadership. Your collaborative disposition ensures that you flourish when working collectively on shared objectives, while your sense of responsibility fosters positive outcomes throughout every facet of compliance.

• Bachelor’s degree required; concentration in Business, Finance, Economics, Political Science or related field preferred for foundational understanding of financial services regulation.
• One to three years of experience in compliance within an investment adviser, asset manager, private credit platform, or broader financial services firm demonstrating dependable performance in similar environments.
• Familiarity with the Investment Advisers Act of 1940 as well as MNPI governance frameworks, evidencing your knowledge of core regulatory principles.
• Experience with lobbying, reporting, or registration is considered a strong advantage, reflecting your ability to address specialized compliance tasks effectively.
• Exceptional attention to detail paired with clear communication skills enables you to manage multiple deliverables efficiently without compromising quality or accuracy.
• Sound judgment combined with discretion when handling sensitive information, ensuring trustworthiness in all professional interactions.
• Ability to collaborate effectively across teams, including senior leadership, highlighting your interpersonal strengths in communal settings.
• Commitment to continuous learning through participation in training opportunities, which supports personal growth within a supportive leadership structure.
• Enthusiasm for assuming responsibility over core workflows while remaining considerate towards colleagues’ perspectives during shared projects.

What sets this company apart:

• This preeminent institutional investment management firm distinguishes itself through its steadfast commitment to cultivating an inclusive workplace where each team member’s contributions are esteemed.

What's Next:
If interested in this position, please get in touch with Daniela Garcia at Daniela.Garcia@robertwalters.com