Position Overview:
We're seeking a Compliance Associate to support and execute the firm's Anti-Money Laundering (AML) and Know Your Customer (KYC) protocols across investor and transaction monitoring. This person will either come in with or develop into an in-house expert on AML/KYC compliance standards, while also contributing to broader compliance efforts across the firm.
In this role, you'll engage with key risk management processes, ranging from vendor due diligence to compliance testing, while helping ensure the firm is meeting regulatory expectations. The ideal candidate is analytical, detail-oriented, and thrives in a dynamic, entrepreneurial environment.
Key Responsibilities:
Oversee the firm's AML/KYC procedures and workflows throughout the investment process.
Analyze documentation and conduct diligence reviews related to investor onboarding and ongoing monitoring.
Run and interpret screening results (e.g., sanctions, adverse media) and escalate red flags where appropriate.
Maintain comprehensive records for audit and regulatory purposes.
Coordinate responses to external requests related to AML/KYC or sanctions compliance.
Collaborate with the Compliance and Technology teams to enhance existing systems and tools.
Track changes in regulations and assess their implications for AML/KYC practices.
Deliver internal guidance and training sessions on AML/KYC obligations.
Participate in enterprise-level risk assessments and periodic control testing.
Lead or support reviews of third-party vendors and service providers.
Support Code of Ethics compliance activities and other ad hoc compliance initiatives.
Contribute to broader regulatory and strategic projects as needed.
Preferred Background and Skills:
Strong organizational and project management skills; ability to manage multiple priorities.
Effective communication skills, both written and verbal.
High attention to detail with a focus on accuracy and data integrity.
Proficient in Microsoft Office Suite, particularly Excel and Word.
Ability to manage confidential information with professionalism and discretion.
Comfortable working with colleagues across departments and seniority levels.
Flexible, proactive, and able to adapt quickly to shifting business needs.
Qualifications:
Bachelor's degree required.
CAMS certification is a plus but not mandatory.
