Compliance and Testing Assurance Associate

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Job Identification Number: 60

Location: Greenwich, CT

Job Type: Direct Hire

Job Category: Financial Services

Qualified candidates, please attach resume when applying.


Global investment management firm is seeking a Compliance Testing and Assurance Associate in their Connecticut office. The ideal candidate will have strong problem solving skills and the ability to develop and implement innovative solutions for resolving compliance issues which meet regulatory requirements.

Primary Responsibilities:

You will lead the creation and delivery of a portfolio of compliance tests and reviews for investors. This role will conduct scheduled and ad hoc compliance reviews, coordinate with internal departments, assess current and previous policies and procedures, test business processes as they relate to the company’s compliance and regulatory obligations. Condense compound concepts into clear summaries, make adjustments, and confirm remedial actions were completed for any test findings or recommendations made. You will recommend updates to compliance policies and procedures where necessary. Deliver continuing advice to the company and resolve day-to-day issues in relation to compliance. Keep up-to-date knowledge of recent regulatory framework. Contribute with replying to inquiries from external auditors and regulatory and enforcement bodies.

Qualifications and Requirements:

  • Bachelor’s degree
  • 8+ years of experience at an asset manager, broker-dealer, accounting firm or consulting firm testing key controls and/or compliance with policies and procedures
  • An understanding of SOC 1 reports and alternative investment strategies, including a working knowledge of a wide range of financial products is a plus
  • An understanding of the applicable regulations, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and ERISA is a plus
  • CIA certification or progress towards obtaining certification is a plus