Compliance Associate, Alternative Investments and Hedge Funds

  • DOE
  • New York, NY, USA
  • Permanent, Full time
  • The Compliance Search Group, LLC
  • 30 Sep 18

Our client is a diversified financial firm with private banking, broker-dealer, wealth management, and alternative investment divisions. The Senior Compliance Associate – Alternatives will assist with the enhancement and implementation of the firm’s alternative investments compliance program and ensure compliance with applicable regulations and best practices. The Senior Compliance Associate will work closely with the Compliance Officer to manage important elements of the program, including SEC, FINRA, NFA/CFTC elements.


One of the largest and most respected cannabis companies in the legal marijuana industry seeks a Compliance Director for the Northeast region of their business.

This is a fantastic opportunity for a person who desires to join a fast-growing company in an exciting and dynamic industry. The upside could be incredible.


The Compliance Director will be responsible for proactively ensuring that the Northeast Region is in full regulatory compliance with all applicable rules and regulations.

What you will do

The Compliance Director will be responsible for an array of matters including the following:

Enhance / implement compliance infrastructure to support existing and future needs
Develop and enhance compliance plan and system for each asset to ensure regulatory compliance at state and local levels
Proactively ensure all parts of the business are fully compliant with regulations
Collaborate with Due Diligence Project Manager on new acquisitions
Collaborate with the Licensing team on new license applications
Partner with Retail, Cultivation and Manufacturing teams to provide regulatory guidance
Create positive working relationships with state and local regulatory bodies
Oversee and supervise compliance staff
Revise policies and create new policies to foster a culture of compliance
This position will have supervisory responsibilities and will be supervising compliance staff at the direction of VP of Compliance

What traits you should posses to succeed

Problem Solving/Analysis
Attention to Detail
Teamwork Orientation
Communication Proficiency
Personal Effectiveness/Credibility
Business Acumen
Presentation Skills
Technical Capacity

Required Education and Experience 

Bachelor’s degree, MBA a plus
7+ years compliance experience in a heavily regulated industry
Prior management experience of cross-functional teams a plus
Prior experience interacting with auditors and regulators
Senior management reporting and presentation experience
Compliance system (manual and/or vendor) implementation is a plus

Please email resumes to Jack Kelly at