ACG Resources
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Job Ref: 15018
Salary: $125000 – $150000
Compliance Associate
Location: Midtown Manhattan (Hybrid: 4 days in-office, Fridays remote)
Compensation: $120,000 – $150,000
Overview
A high-performing, globally active asset manager is seeking a Compliance Associate to support the firm’s legal and regulatory functions. This role is embedded within a small, experienced compliance team and offers direct exposure to U.S. and international investment products, including ETFs, UCITS, private funds, and digital assets.
The position is well-suited for professionals with legal or regulatory backgrounds looking for a broad and engaging role across product governance, disclosure, and risk oversight.
Key Responsibilities
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Draft and review regulatory filings such as prospectuses, SAIs, and related disclosures
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Support contract negotiation and review processes for sub-adviser, index, and data licensing agreements
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Collaborate with internal teams and external counsel to address compliance and legal matters
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Assist in preparing materials for board meetings, including legal updates and contract reviews
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Maintain and test the firm’s compliance program under Rule 206(4)-7 and applicable frameworks
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Monitor regulatory developments and evaluate impacts on fund operations and disclosure
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Provide compliance oversight for 1940 Act funds, UCITS, and private offerings
Qualifications
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J.D. preferred; must be admitted to practice law in at least one U.S. jurisdiction
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2–5 years of relevant experience in compliance, legal, or regulatory roles within the investment management industry
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Familiarity with the Investment Advisers Act of 1940 is required; UCITS knowledge is a plus
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Strong written communication and analytical skills
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Ability to prioritize, execute, and follow through in a fast-paced, high-accountability environment
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High degree of professionalism, discretion, and sound judgment in handling complex matters
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