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Compliance Associate

5 months ago

Newport Beach, United States Madison-Davis, LLC Full time

A leading institutional alternative asset manager based in Newport Beach, CA looking for a "Compliance Associate". This firm is currently in a hybrid model (2 days in office).


Responsibilities:

• Assist in all aspects of the administration of Rule 206(4)-7 compliance programs, as needed.

• Administrative support of compliance daily operations and participating in compliance group projects and initiatives.

• Support the periodic review and distribution of compliance policies and procedures.

• Maintains professional and technical knowledge by researching regulatory changes.

• Assist with FINRA WebCRD filings for the firm and its registered representatives.

• Monitor social media.