Compliance Associate at WTECH Search

• Job Location New York, NY
• Seniority Associate
• Type Full-time

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Description

Firm: Asset Manager focused on asset-based lending Location: Midtown, NYC 4x a week Role Overview The Compliance Associate will serve as a key member of the firm’s in-house compliance function, supporting the Specialty Finance business across counterparty relationships and financing activities.

This role is embedded within the commercial workflow and works closely with investment, legal, and risk teams to ensure that transactions and ongoing relationships are structured, documented, and monitored in accordance with regulatory and internal standards.

The position is designed for a professional who exercises sound judgment, is comfortable engaging directly with external counterparties, and takes ownership of compliance processes throughout the lifecycle of a transaction.

The Compliance Associate will play an active role in maintaining strong governance around the firm’s commercial activities while enabling efficient execution in a fast-moving investment environment.

Core Responsibilities Actively participate in counterparty diligence and monitoring discussions, including live calls, and manage related follow-ups, documentation, and issue resolution.

Support compliance oversight for financing transactions by reviewing diligence materials and ensuring consistency with internal compliance and risk frameworks.

Partner with investment, legal, and operations teams to track and satisfy ongoing compliance obligations tied to counterparties and transactions.

Maintain clear, auditable records of counterparty communications, diligence findings, and contractual or compliance commitments.