Compliance Associate (Greenwich)
The Compliance Associate role at Confidential Client involves supporting investment and trading compliance monitoring, regulatory reporting, and Code of Ethics administration within a global asset management firm. This early-career position offers broad exposure to compliance functions, working closely with portfolio managers, traders, and senior compliance professionals to ensure adherence to investment guidelines and regulatory requirements. The role emphasizes analytical skills, attention to detail, and collaboration in a growing, on-site compliance team.
About Careertakes
👉 Important disclosure: Careertakes is a third-party recruiting platform supporting this hiring process. If selected, you will be employed directly by our client, Accounting & Finance.
Applicants for this role may also receive access to additional matched opportunities through the Careertakes platform.
Position overview
Our confidential client, an established global asset manager in the Accounting & Finance industry, is hiring a Compliance Associate to join a lean Compliance team in Glenville, CT. This early-career role offers hands-on exposure to investment compliance, trading oversight, regulatory reporting, Code of Ethics administration, testing and monitoring, and firmwide compliance initiatives. You will partner with portfolio managers, traders, operations professionals and senior Compliance staff to help maintain and improve compliance controls.
What You’ll Do
- Support pre- and post-trade investment compliance monitoring for client accounts and registered fund portfolios.
- Monitor client investment guidelines, trading restrictions and portfolio-specific requirements.
- Work directly with portfolio managers and traders to identify and resolve investment compliance matters in real time.
- Assist with administration of the firm’s Code of Ethics (personal trading reviews, brokerage feeds, employee certifications).
- Support employee compliance onboarding and ongoing attestations.
- Conduct compliance testing and monitoring across best execution, proxy voting, trade activity, reconciliations and AML.
- Assist with regulatory filings such as Forms 13F, 13H, ADV and PF.
- Support annual control and audit processes and respond to client/prospect DDQs.
- Partner with senior Compliance team members on projects to improve processes and controls.
- Pitch in on general compliance tasks as needed.
Qualifications
- Bachelor’s degree (finance, economics, accounting, business or related discipline preferred).
- Approximately 1–3 years of relevant compliance, asset-management or financial-services experience preferred; strong entry-level candidates will be considered.
- Genuine interest in building a career in investment-management compliance.
- Strong analytical and problem-solving skills.
- Exceptional attention to detail and the ability to manage multiple priorities and deadlines.
- Proactive, organized and accountable work style.
- Strong written and verbal communication skills.
- Comfortable interacting with investment, trading, operations and other business professionals.
Compensation & Location
- Location: Glenville, CT (on-site / Connecticut office).
- Estimated salary: $42,206 per year (estimated figure provided by the source).
Why join
- Broad, hands-on exposure to core areas of investment-management compliance.
- Close mentorship and meaningful interaction with senior Compliance professionals and business leaders.
- Opportunity to build a strong foundation in compliance within a growing, collaborative environment.
Equal Opportunity & Hiring Transparency
Careertakes and our client are Equal Opportunity Employers committed to building a diverse and inclusive workforce. We prohibit discrimination or harassment of any kind. To support a fair and efficient hiring process, AI tools may be used to assist with application review or resume screening. These tools do not replace human decision-making. Final hiring decisions are made by people.
If you have questions about how your data is used, please contact us directly.
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