Compliance Officer
3 weeks ago
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
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