Compliance Associate
2 months ago
Location: Bethesda, Maryland (Hybrid)
Compensation: $125k-$150k base + 15%-20% percent bonus
Responsibilities:
• Work with the firm’s General Counsel & CCO in managing the firm’s overall compliance program including supporting the Code of Ethics and ensuring compliance with regulatory requirements
• Manage the compliance calendar
• Handle email surveillance, brokerage account review, gift and entertainment and political contribution monitoring and expense
• Handle electronic communication review
• Conduct compliance testing
• Implement, oversee and monitor cybersecurity compliance controls
• Aid the firm in being “exam ready” for any future SEC exams
Qualifications:
• 2-5 years of total work experience, in a Compliance role or related fields
• Experience working on compliance matters related to investment advisers and hedge funds or private equity funds preferred
• Strong verbal and written communication skills
• Superior attention to detail, strong organizational skills and a proactive approach to tasks
• Familiarity with implementing and utilizing Compliance systems & tools (ex. ComplySci, Smarsh)
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