Compliance Associate

A leading institutional investment firm in New York seeks a Compliance Associate to support investment guideline oversight and work closely with portfolio managers. Known for its strength in corporate credit and commitment to clients, the firm offers a collaborative culture, strong mentorship, and meaningful responsibility, providing valuable exposure to sophisticated credit strategies and regulatory frameworks.

Key Responsibilities:
In the capacity of Compliance Associate, you will play a pivotal role in supporting the implementation, supervision, and refinement of the firm’s investment guideline oversight program. Your daily activities will involve close collaboration with experienced colleagues across multiple disciplines—including portfolio management, trading, legal affairs, risk management, technology, operations, client service, and compliance—to ensure that best-in-class practices are consistently upheld. You will be entrusted with reviewing alerts generated by Charles River Development (CRD), interpreting guideline language for institutional accounts such as pension plans with meticulous care, conducting test trades for new strategies before launch, assisting with rule coding projects within CRD systems, preparing documentation for audits or internal reviews, working alongside client service teams during mandate onboarding processes or guideline updates, participating in system upgrades or workflow enhancements as they arise, identifying areas where monitoring can be further optimized through scalable solutions—and presenting information clearly to stakeholders at all levels. Success in this position requires not only technical proficiency but also exemplary communication skills. Your capacity to manage competing priorities under time constraints while maintaining accuracy will distinguish you as a valued member of the team.

• Oversee investment portfolios utilizing Charles River Development (CRD) to ensure strict adherence to client guidelines, regulatory requirements, and internal restrictions while maintaining comprehensive records of all activities undertaken.
• Conduct thorough reviews of pre-trade and post-trade alerts, addressing issues with diligence and escalating material concerns promptly so as to uphold the highest standards of compliance.
• Interpret guideline language for pension plans and institutional accounts with precision, ensuring all documentation remains aligned with prevailing regulations.
• Execute test trades for new strategies or instruments as required to confirm compliance prior to their introduction into live portfolios.
• Provide timely assistance to portfolio managers and traders regarding queries related to investment restrictions by offering clear guidance based on current policies.
• Support the coding, maintenance, and testing of CRD rules in accordance with client mandates and regulatory obligations while collaborating effectively with technology teams on troubleshooting matters.
• Engage actively in system enhancements, regression testing, workflow improvements, and validation of updates within the compliance infrastructure.
• Assist in the preparation of compliance documentation, fulfilment of reporting obligations, and facilitation of internal audit processes by ensuring all materials are both accurate and complete.
• Work closely with client service and operations teams during mandate onboarding processes, as well as when updating guidelines or responding to client requests.
• Contribute thoughtfully to periodic compliance testing cycles, internal reviews, and identification of potential gaps in monitoring processes by proposing considered solutions.

Key Requirements:
The ideal candidate for the Compliance Associate position brings demonstrable experience from roles encompassing investment compliance or analogous functions within financial services. Your academic credentials provide you with essential theoretical grounding, whilst your early-career exposure has afforded you practical insight into operationalizing compliance within asset management settings. Acquaintance with Charles River Development (CRD) systems—or, at a minimum, a keen interest in acquiring proficiency—will enable you to make meaningful contributions from inception. Your analytical disposition allows you to interpret complex guidelines judiciously; any programming or data manipulation capabilities further augment your effectiveness by facilitating efficient problem resolution. A basic familiarity with fixed income products or credit markets informs your approach within real-world contexts. Above all else, your interpersonal strengths—clarity in communication, organizational acumen, scrupulous attention to detail—ensure that you engender trust swiftly among colleagues across departments. Your readiness to collaborate, openly share expertise support collective success renders you an invaluable addition who flourishes within communal environments.

• A Bachelor’s degree in Finance, Economics, Business Analytics, or a related discipline is essential so you may demonstrate foundational knowledge pertinent to investment compliance.
• 1–3 years’ experience in investment compliance, portfolio compliance operations, fund accounting, or a technical/business analytics role within financial services is required for understanding industry protocols.
• Familiarity with Charles River Development (CRD) is highly desirable; however, a willingness to master CRD systems is expected if you have not previously utilized them directly.
• Demonstrated analytical abilities combined with technical aptitude—skills such as Python, SQL, or VBA are advantageous though not obligatory.
• A fundamental understanding of investment products, including fixed income or credit markets, will enable you to contextualize your responsibilities within broader business objectives.
• Exceptional communication skills are necessary, so you may convey information clearly both verbally and in writing across diverse stakeholder groups.
• Superior organizational skills coupled with the ability to manage multiple priorities under time constraints are indispensable for excelling in this demanding environment.
• Meticulous attention to detail, together with an unwavering commitment to accuracy, ensures that all compliance documentation adheres to rigorous standards.

What sets this company apart:

• This confidential institutional investment management firm distinguishes itself through its enduring focus on corporate credit strategies serving some of the world’s most respected pension plans, endowments, foundations, and global institutional investors.

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