Compliance Associate
Partnership Employment
New York City Metropolitan Area0–2 yrs1h agovia LinkedIn
This job at a glance
- Who can apply
- New grads and up to 2 years
- Must know
- Marketing
- Work
- On-site in New York City Metropolitan Area
- Pay
- Not stated by the employer.
- Skill demand
- Marketing12%of 99 similar entry-level jobs posted in the US this week
- Listed
- Nov 6, 2026 · still open
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Key Responsibilities
- Advising clients on compliance matters, including oversight of personal trading, email review, monitoring of firm trading activity, and maintaining restricted lists.
- Preparation and filing of required regulatory filings, including Form ADV and Form 13's.
- Manage client registration with applicable regulators, including SEC and CFTC.
- Assist with regulatory examinations of client compliance programs conducted by regulatory authorities, including SEC, NFA, and state regulators.
- Ensure that compliance violation items are properly investigated, documented, and action completed, as per client policies and procedures.
- Analysis of regulatory environment updates and consideration of application for clients.
- Review and advise on clients' marketing and advertising materials in line with the Advisers Act and other applicable regulatory requirements.
- Present/participate in compliance training for clients and their employees annually.
- Review of documents and data enabling analysis, critical and technical thinking, for appropriate well-thought-out decisions.
- Eye for quality and accuracy of work product.
- High-level first-class communication with regulators, industry contacts, clients, and CFO team.
- Considerable use of tact, diplomacy, confidentiality, discretion, and judgment.