Compliance Associate
1 month ago
Principal global corporate compliance administrator for the Code of Ethics and related policies, including Gifts & Entertainment, Political Contributions, Code of Conduct, and Whistleblower
Oversee the implementation, maintenance, and annual review of 10-15 compliance policies and procedures on an ongoing basis
Monitor for regulatory changes and implement revisions to internal policies and procedures as needed to ensure ongoing regulatory compliance
Oversee the in-person and online Compliance training program
Coordinate responses to requests from internal business partners
Support the production of Board reports and any other relevant materials
Support the efforts of the broader Compliance Team and provide additional tasks and duties as needed
Qualifications :
Qualified candidates should have 2-4 years of related experience in the financial services industry, preferably within the investment advisory business
Familiarity with Rule 204A-1 the Investment Advisers Act of 1940 and Rule 17j-1 of the Investment Company Act of 1940 and related regulations ( i.e.,
Code of Ethics requirements)
Self-starter with excellent communication and relationship skills
Strong writing, editing, and proofreading skills
Knowledge working with Microsoft products, including Teams and SharePoint Online
Comfortable learning new technologies
Demonstrated ability to prioritize work and manage multiple tasks to meet daily and periodic deadlines
Positive attitude, professional and mature
Comfortable working both independently and as part of a team
Required Years of Experience :
2
Additional Info :
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