Compliance Associate
4 weeks ago
We'll be hiring a compliance/operations associate. Responsible for tasks involving Broker Dealer and Registered Investment Advisor regulatory compliance.
The ideal person will be detail-oriented, while also having a strong desire to take charge and build out our internal compliance department, working with our CCO and CFO.
Primary Responsibilities:
- Perform daily trade reviews, ensure Reg BI compliance, new accounts review.
- Monitor employee activity including outside brokerage accounts, daily exceptions, outside business activities, state registrations, and others.
- Distribute and review affirmations including quarterly and annual compliance affirmations, and other required acknowledgements, as needed, for compliance with firm policies and procedures.
- Manage necessary filings including quarterly 13F, annual ADV, among others.
- Assist with regulatory examinations, audits, and inquiries Complete due diligence on vendors and asset managers, namely alternative investments.
- Review transactions, products, and business development initiatives to identify potential risk and advise on compliance mitigation.
- Administer and assist in the development and maintenance of compliance policies and procedures; evaluate regulatory updates for impact on the business help implement policies and procedures to address relevant changes.
- Perform other compliance/operations projects as assigned.
Preferred Qualifications:
- Bachelors Degree preferred or equivalent work experience.
- 2+ years compliance experience (with investment advisor act experience preferred).
- Relevant Securities Licensing, Series 24 or willingness to obtain it within 3 months of hire.
- Detail oriented with strong organizational and follow-through skills.
- Team oriented and willingness to share ideas.
- Strong computer skills in Microsoft Word, Excel, Outlook, and PowerPoint.
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