Compliance Associate

4 weeks ago

Philadelphia, United States Atlantic Group Full time

Location: Philadelphia (Hybrid)

Compensation: $100k-$130k base + bonus ($20k-$30k)


Job Overview:

The Compliance Associate is responsible for supporting the Chief Compliance Officer (“CCO) in the execution of the day-to-day compliance functions relating to the investment advisory businesses.

Responsibilities:

• Monitor and test the Firm’s policies and procedures to determine the adequacy and effectiveness of the compliance program

• Administer the Firm’s Code of Ethics, including oversight of all personal securities trading, periodic attestations and certifications and related staff regulatory reporting obligations

• Work closely with other departments, including IT, Operations, Legal, Investment Management, Trading, Marketing, and Investor Relations, to ensure Compliance with regulatory requirements, internal firm policies and procedures, and client-imposed guidelines

• Maintain Anti-Money Laundering and Know Your Customer procedures, including vendor due diligence, new advisory client and commingled fund investors, and ongoing client monitoring

• Ensure client monthly, quarterly, and annual compliance reporting requirements are fulfilled, including reporting to sub-advised registered investment companies

• Review marketing material, investor/client communications, Requests for Proposals, and Due Diligence Questionnaires to ensure compliance with applicable laws and regulations

• Assist the CCO in reviewing, maintaining, and updating the Firm’s regulatory filings, including the Form ADV Parts 1 and 2, Section 13 filings, and Form PF

• Assist with the development of compliance training program, including all new hire training, annual staff training, ad-hoc regulatory training and other continuing education programs

Qualifications:

• 3+ years of compliance related experience in an investment management firm preferred

• Bachelor’s degree in Legal, Finance, or Accounting

• Exposure to public securities operations, including trading and settlement procedures preferred

• Experience with review of advertising and market materials preferred

• Thorough knowledge of the Investment Advisers Act of 1940 and the rules and regulations governing SEC registered investment advisers

• Familiarity with private fund structures and ongoing registration obligations for advisers in the US

Other Qualifications:

• Highly organized and client focused team player with demonstrated ability to work in an entrepreneurial environment

• Strong interpersonal, verbal, and written communication skills

• Ability to work within a team environment

• Proactive and self-motivated with a strong work ethic

• Ability to multi-task and prioritize across a range of projects, including the performance of both substantive and routine tasks

• Experience Microsoft office suite and Advent (Moxy) or other order management systems preferred

We are an equal opportunity employer and value diversity at our firm. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status


#38174

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