Our client is a growing SEC registered investment adviser providing leading investment solutions to institutional, professional investment advisors and retail clients across a variety of vehicles including RIC mutual funds and ETFs, separately managed accounts, and more.
The Compliance Associate will learn quickly about the Firm, the compliance program integrally and will have an opportunity for future growth. The person will be reporting to the Firm’s Chief Compliance Officer. The compliance associate will work closely with Senior Management, Marketing, Sales, Investments, Operations, and IT on projects and issues.
Working knowledge of SEC rules and regulations regarding Registered Investment Advisors and Registered Investment Companies is preferred. In this role, the candidate will help implement and enforce a wide range of compliance policies that are covered below in Job Responsibilities.
Job Responsibilities:
Review marketing and advertising materials to ensure compliance with relevant laws
Assist with the Firm’s monitoring to ensure adherence to firm’s marketing policies and code of ethics personal trading policies.
Provide input and complete Due Diligence Questionnaires (DDQs) and Request for Proposals (RFPs)
Complete Weekly/Monthly/Quarterly compliance checklists
Help maintain and update Firm’s compliance manual
Evaluate, identify, and solve for potential areas of risk in compliance
Assist in the preparation of risk assessments, annual reviews, vendor reviews
Assist with the Firm’s responses and documentation requests to any regulatory inquiries, third party examiners and internal audit
Monitor and enforce books and records requirements
Additional operational duties and projects, as needed
Candidate Requirements:
Bachelor’s Degree
Strong experience in the use of excel and other Microsoft office products
Ability to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk
Authorized to work in the United States without sponsorship
Preferred 2-3 years of prior financial services (B/D or RIA) compliance experience
Personality:
Attentive to detail
Team Player: Willingness to handle all levels of task required to obtain team success
Trustworthy and responsible
Positive Attitude
Solution provider with composure
Ability to multi-task effortlessly and manage competing priorities under demanding deadlines
Strong project management skills
Well organized
Excellent oral and written communication skills
Self-starter but with the understanding to seek assistance and take input/feedback, when needed