Compliance Associate

3 weeks ago

Charlotte, United States Larson Maddox Full time

Key Duties & Responsibilities

  • Assisting in enforcing Code of Ethics, which involves monitoring personal trading accounts, issuing certifications, and managing conflicts-of-interest.
  • Maintaining and updating compliance policies and procedures, ensuring they're current and effective.
  • Assisting with SEC and NFA filings and regulatory examinations to ensure compliance with regulatory requirements.
  • Monitoring and auditing business processes to identify potential compliance risks and take appropriate actions to mitigate them.
  • Supporting the enforcement and testing of compliance program to maintain effectiveness.
  • Researching and analyzing applicable laws, regulations, and industry best practices to ensure ongoing compliance.
  • Staying informed about SEC and NFA regulations, including changes and developments such as those related to ESG investing.
  • Educating and training employees on regulatory requirements, updates, and nuances relevant to their roles.
  • Assisting in conducting initial and ongoing operational due diligence (ODD) reviews of underlying investments with external private fund managers.
  • Reviewing marketing materials for compliance with SEC "Marketing" or "Advertising" Rules of the Investment Advisers Act.
  • Collaborating with compliance consultants and legal counsel when necessary.
  • Providing support on projects related to new regulations and the continuous improvement of the compliance program.
  • Completing ad hoc projects and other tasks as needed to support the Compliance team.

Required Skills & Abilities

  • Excellent attention to detail and organizational skills.
  • A continuous learning mindset to improve processes and stay ahead in a dynamic regulatory environment.
  • Strong verbal and written communication skills, with the ability to build effective connections within and across teams.
  • The ability to prioritize tasks quickly and work effectively under time constraints.
  • Sound judgment in decision-making.
  • Basic proficiency in the Microsoft Office suite.

Qualifications

  • Bachelor's degree required.
  • 3+ years' experience with an investment adviser compliance team, regulator, or compliance consultant.
  • Familiarity with the SEC's Investment Advisers Act concerning private funds and a basic understanding of regulatory frameworks; NFA experience is advantageous.
  • Experience with private funds or registered fund operations is preferred.
  • Previous experience in compliance, external audit, internal audit, and/or operational due diligence is desirable.
  • Familiarity with alternative investment operations and controls is a plus.
  • An interest and/or understanding of complex investing concepts is preferred.

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