Investment Compliance

  • $80-95k base plus bonus
  • New York, NY, USA New York NY US
  • Permanent, Full time
  • Robert Half - US
  • 16 Apr 18 2018-04-16

Robert Half Financial Services are currently recruiting for an Investment Compliance role within a well-established Asset Manager, based in midtown New York. Our client requires at least 2+ years Investment Compliance experience within Asset Management or a Fund, and knowledge of SEC Regulations.


The Investment Compliance position is a generalist role covering personal trading, the restricted list, KYC/AML and other onboarding, participating in annual review of policies and procedures, ongoing testing of compliance policies and procedures, assisting with regulatory filings and providing key support with ad hoc compliance-related projects as needed.



  • Bachelor’s degree in area of Finance or other business related field of study
  • 2+ years Investment Compliance experience at an Asset Manager or Fund
  • SEC Regulatory knowledge


This Investment Compliance role is located in Midtown New York so please only apply if you are able to travel to this location, and have relevant recent experience. The salary is flexible dependent on experience however the initial range is $80-95k base plus bonus. If your profile matches the above criteria, please contact me on ****