Compliance Associate

2 months ago


Bethesda, United States Atlantic Group Full time

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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