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Compliance Associate
2 months ago
- Assist with a wide variety of regulatory, corporate, fund and investment compliance matters across various strategies.
- Draft, implement, maintain, and test compliance policies and procedures and support the team in implementing these policies and procedures to address new business practices or regulatory changes (e.g., CTA, etc.).
- Assist with preparation and completion of annual compliance risk assessment and the annual compliance review.
- Assist with administration of the firm's Code of Ethics, including trade approvals, trade review, affirmation approvals, quarterly transaction reporting and annual attestations.
- Assist with legal and compliance risk mitigation strategies (e.g., data privacy, MNPI, etc.) across multiple disciplines (e.g., client contracts, operational systems, and compliance).
- Materially assist in the preparation of regulatory filings (Form ADV, Form PF, Forms 13G, 13H and 13F, Treasury Filings, CFTC filings, state Blue Sky filings and others).
- Review and approve external communications, marketing, and business development materials, including social media, events, website, DDQs and RFPs.
- Assist with general KYC/AML requests from third parties.
- Assist with regulatory audits, inquiries, and subpoenas.
Qualifications:
- 2+ years of experience in in-house legal and/or compliance department or at a consulting firm
- Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as broad knowledge of financial industry compliance programs
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