Compliance Reporting Associate

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Job Identification Number: 61

Location: Greenwich, CT

Job Type: Direct Hire

Job Category: Financial Services

Qualified candidates, please attach resume when applying.


Global investment management firm seeks Compliance Reporting Associate in their Connecticut office. This role will be similar to compliance testing but more on the process (aka project related) than doing the day to day work.

Primary Responsibilities:

Coordinate and reply to compliance inquiries from stakeholders. Conduct responses to compliance-related client deliverables (ongoing and ad hoc reporting materials). Organize yearly contract renewal questionnaires required by Section 15(c) of the Investment Company Act of 1940. Evaluate investor agreements to identify and organize scheduled compliance reporting. Update reporting calendar and task manager for various reporting deliverables. Deliver quality assurance reviews of reporting materials for clients.

Qualifications and Requirements:

  • Bachelor’s degree
  • 2+ years of experience at an asset manager, broker-dealer, or accounting firm
  • Project management and risk assessment skills
  • An understanding of the applicable regulations (Investment Advisers Act of 1940, Investment Company Act of 1940, and ERISA is a plus)