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Beacon Hill is partnering with a leading advisory firm to identify a Compliance Associate for a long-term contract opportunity supporting a premier financial services client. This role is ideal for a compliance professional with experience in investment advisory compliance who is looking to deepen their expertise within asset management and structured products. Remote candidates will be considered.
Key Responsibilities
- Support investment compliance for CLOs, CDOs, and similar products, including investment guideline monitoring, MNPI/restricted-list controls, trade surveillance, allocation testing, and conflicts management.
- Help strengthen MNPI monitoring and controls.
- Support compliance with the Investment Advisers Act and related requirements.
- Assist with compliance testing, monitoring, reporting, and policy development.
- Utilize compliance data systems, databases, and multiple data sources to support compliance functions.
Qualifications
- Bachelor’s degree required.
- 2+ years of relevant compliance, legal, or regulatory experience, preferably in asset management, private credit, or financial services.
- Experience supporting SEC-registered investment advisers.
- Knowledge of investment compliance and the Investment Advisers Act.
- Experience with compliance data systems, databases, and multiple data sources.
- Experience with structured products, including CLOs and CDOs, is a plus.
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