Atlantic Group
Associate Director of Compliance (Marketing Material Review & Core)
Atlantic Group, New York, New York, us, 10261
Job Overview - Associate Director of Compliance (Marketing Material Review & Core):Join our private credit client as an Associate Director of Compliance in New York, where you'll lead compliance and regulatory efforts for marketing, fundraising, and investment strategies. In this hybrid role, you'll ensure compliance with U.S. and international regulations, including the Investment Advisers Act, while driving key compliance initiatives.
Total Compensation: $275,000 - $325,000/year (All-In)Location: New York, NYSchedule: Monday to Friday (Hybrid)
Responsibilities as the Associate Director of Compliance:
Regulatory Coordination:
Manage compliance across various investment strategies, including SEC, CFTC, ERISA, and other securities laws.Marketing Review:
Oversee the review of marketing materials, investor communications, and due diligence documents to ensure compliance with the Investment Advisers Act marketing rules and non-U.S. regulations.Reporting and Filings:
Coordinate and prepare U.S. and foreign regulatory reports, such as Form ADV, Form PF, and international filings.Compliance:
Support the compliance monitoring program, including forensic testing, investment guidelines review, and Code of Ethics compliance.Project Management:
Collaborate with the Legal/Compliance Department to drive firm-wide initiatives and maintain the Legal and Compliance calendar.Qualifications for the Associate Director of Compliance:
Education:
Bachelor’s degree in Law, Finance, Business required (J.D. preferred).Experience:
3+ years in Compliance required, with expertise in asset management marketing review (private fund compliance is a plus).Knowledge:
Strong understanding of federal securities laws and marketing regulations in asset management.Skills:
Ability to manage multiple projects in a deadline-driven environment, with expertise in compliance software for monitoring and reporting.Attributes:
Detail-oriented, quick learner with the ability to interpret legal and business concepts.Application Notice:
Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.
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Total Compensation: $275,000 - $325,000/year (All-In)Location: New York, NYSchedule: Monday to Friday (Hybrid)
Responsibilities as the Associate Director of Compliance:
Regulatory Coordination:
Manage compliance across various investment strategies, including SEC, CFTC, ERISA, and other securities laws.Marketing Review:
Oversee the review of marketing materials, investor communications, and due diligence documents to ensure compliance with the Investment Advisers Act marketing rules and non-U.S. regulations.Reporting and Filings:
Coordinate and prepare U.S. and foreign regulatory reports, such as Form ADV, Form PF, and international filings.Compliance:
Support the compliance monitoring program, including forensic testing, investment guidelines review, and Code of Ethics compliance.Project Management:
Collaborate with the Legal/Compliance Department to drive firm-wide initiatives and maintain the Legal and Compliance calendar.Qualifications for the Associate Director of Compliance:
Education:
Bachelor’s degree in Law, Finance, Business required (J.D. preferred).Experience:
3+ years in Compliance required, with expertise in asset management marketing review (private fund compliance is a plus).Knowledge:
Strong understanding of federal securities laws and marketing regulations in asset management.Skills:
Ability to manage multiple projects in a deadline-driven environment, with expertise in compliance software for monitoring and reporting.Attributes:
Detail-oriented, quick learner with the ability to interpret legal and business concepts.Application Notice:
Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.
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