Okay, I've searched for Regulatory Compliance Associate roles in New York, NY within the asset management and investment industry, with a salary starting at $100,000, requiring 1-3 years of experience, and offering a hybrid work schedule. I have found 42 positions that match your criteria.

Sure. Here's the analysis:

Job Analysis:

The Regulatory Compliance Associate role is fundamentally designed to ensure that an asset management firm adheres strictly to relevant regulatory frameworks and internal policies governing investment management activities. This position demands a professional who can navigate the complex compliance landscape involving investment advisers, broker-dealers, private equity, and hedge funds. The core responsibilities—monitoring adherence to policies, conducting marketing material reviews, overseeing personal trading activities, and supporting operational compliance tasks—reflect the need for vigilance and meticulousness in a heavily regulated environment. The inclusion of tools like MCO, Charles River, Global Relay, and AdMaster underscores the technical proficiency expected for automation and record-keeping in compliance workflows. Beyond technical skills, this role requires a detail-oriented individual capable of effective communication and multitasking within a fast-paced, collaborative setting. The requirement to obtain Series 7 and Series 24 licenses within nine months indicates that the role is not only operational but also requires a strong regulatory knowledge foundation to interpret complex rules properly. Success in this position means accurately identifying and resolving compliance risks, improving internal processes, and supporting the firm in avoiding regulatory pitfalls, all while maintaining transparent communication across departments.

Company Analysis:

Atlantic Group operates as a seasoned, respected player in the executive search and staffing sector, with a strong footprint across multiple US cities and international offices, indicating a robust and stable organization with deep industry connections. Their specialization in verticals such as Finance & Accounting and Capital Markets aligns well with placing compliance professionals, suggesting the company understands the nuances and critical demands of roles within these fields. The culture appears to emphasize ethical recruitment practices and a commitment to providing candidates and clients with focused, high-quality service — values that may translate into a professional environment that prioritizes precision, trustworthiness, and careful stewardship of client relationships. For someone stepping into the Regulatory Compliance Associate position, this means working with a firm that values integrity and thoroughness, likely expecting the same from its employees. Given that this role supports regulatory functions crucial to asset management clients, it holds strategic importance in reinforcing Atlantic Group’s reputation in the financial services staffing market. While the firm itself is a search and staffing agency (not a direct asset manager), the client context suggests the role might involve managing compliance expectations and bridging regulatory needs with operational execution—highlighting the importance of effective communication and industry-specific expertise.

Absolutely. Here are some mock interview questions that could come up:

• Tell me about a time when you identified a compliance issue during a monitoring review. How did you handle it, and what was the outcome?
• Describe your experience working with compliance monitoring systems such as MCO or Charles River. How have these tools improved your workflow?
• Can you walk me through how you approach reviewing institutional and retail marketing materials to ensure regulatory compliance?
• How do you manage competing priorities in a fast-paced compliance environment without compromising attention to detail?
• What strategies do you use to stay current with evolving regulations applicable to investment advisers and broker-dealers?
• Imagine you discover an employee’s personal trading record flagged as an exception by the MCO system. What steps would you take to resolve the issue?
• Suppose a cross-team conflict arises between compliance and marketing regarding permissible language in marketing materials. How would you help to resolve this dispute?
• How would you contribute to process improvements within the compliance function while maintaining daily operational responsibilities?
• Why are you interested in working in compliance within the asset management space, and how does this align with your career goals?
• Atlantic Group emphasizes ethical recruitment and strong client relationships. How do you see your role in compliance supporting these broader company values?
• What interests you about Atlantic Group’s positioning as a leader in professional search and staffing for financial services?
• Where do you see the biggest compliance risks in asset management firms today, and how do you think this role helps mitigate those?
• Can you describe how you ensure accuracy and thorough documentation when supporting operational compliance tasks and reporting?
• If hired, what would be your top three priorities in your first six months as a Regulatory Compliance Associate here?
• What questions do you have about the company's compliance team structure or the technologies currently in use?