Job Description

Our client, an Investment Management Firm in Brooklyn (Dumbo) is seeking an Operations and Compliance Associate for their NY office.

Hours: 8/8:30 -4:30/5pm

Salary Range:

$75,000 - $125,000k base + very small discretionary bonus + 401k matching + benefits

Schedule:

(4 days in- 1 day WFH) will move to 3-2 once acclimated

ResponsibilitiesCompliance Support (assist CCO):

• Manage policies & procedures (Compliance Manual, Code of Ethics, etc.).
• Conduct compliance & cybersecurity training (new hires & periodic).
• Monitor employee trades, contributions, gifts, entertainment, and outside business activities.
• Maintain the firm’s Restricted List.
• Liaise with compliance & cybersecurity vendors.
• Prepare materials for testing & mock audits.
• Coordinate regulatory filings; maintain compliance calendar.
• Perform due diligence on vendors.
• Track usage of paid expert networks.

Investor Relations Support:

• Prepare & track distribution of marketing materials and investor reports.
• Manage CRM and complete investor due diligence questionnaires.

Technology Management:

• Liaise with IT provider for hardware/software needs.
• Maintain inventory of laptops & peripherals.
• Administer firm’s SaaS tech stack.

Office Management:

• Support select responsibilities in the Brooklyn office.

Project Assistance:

• Assist with ad hoc and recurring compliance, operations, and administrative projects.

Documentation:

• Maintain clear, accurate documentation of all related processes.

Requirements:

• Bachelor’s degree.
• 2+ years relevant experience preferred (finance firms, internships, etc.)
• Strong written communication skills
• High attention to detail
• Ability to work independently and collaboratively
• Integrity, ownership mindset, entrepreneurial yet team-oriented
• Strong project management and organizational skills
• Critical thinker, open to evidence-based change
• Advanced Microsoft Office skills and adaptability to new tech tools

Please submit your resume for consideration!

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