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Compliance Associate

Status: Full-Time Employee
Location: Midtown Manhattan
Education: Bachelor's degree or higher in Finance, Economics, or Business preferred
Required Skills:
See description

Company Overview

Silvercrest Asset Management Group is a registered investment advisor that provides asset management and family office services to families and select institutional investors. Silvercrest currently advises on $33 billion for a clientele comprised primarily of families, endowments, foundations, and other institutional investors.


Job Objective

The Silvercrest Compliance Associate will assist in administering the firm’s compliance program. The essential functions of the Compliance Associate will be assisting in forming and implementing the firm’s policies and procedures, including the Compliance Manual and the firm’s Code of Conduct and Ethics, and ensuring the firm’s compliance with the Investment Advisers Act of 1940. This includes:

  • Oversight of the firm’s Compliance Calendar to ensure timely adherence to regulatory requirements.
  • Support in monitoring and upholding the firm’s Code of Ethics.
  • Conduct employee trade reviews and oversaw monitoring of external accounts and business interests.
  • Review and analysis of the Daily Trade Blotter.
  • Coordination of Peer Review processes.
  • Participation in the firm’s annual risk assessment and compliance review.
  • Collaboration on Vendor Due Diligence Processes.
  • Facilitation of new client relationship reviews and onboarding procedures.
  • Investigation and thorough documentation of trade errors and policy violations.
  • Support in Regulatory examinations and handling of other regulatory matters as necessary.
  • Management of Record Retention procedures.
  • Addressing inquiries from employees in a timely and professional manner.
  • Assistance in the preparation and filing of 13F/13G reports and other regulatory filings.



  • A bachelor’s degree and 3-4 years of relevant work experience; acute attention to detail and process orientation
  • Ability to manage several projects and appropriately deal with individuals at all organizational levels in various roles; excellent verbal and written communication skills
  • Must have an interest in legal and compliance subject matter; willingness to work accordingly with the General Counsel/Chief Compliance Officer to maintain the legal and compliance services provided

Salary Range: $125,000-140,000

Silvercrest Asset Management Group LLC is an Equal Opportunity Employer.

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