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Compliance Associate

3 months ago

Boston, United States Partners Capital Full time

The Compliance Associate in Boston will join our US Compliance team to contribute to the development and monitoring of the US Compliance program and ensure adherence to regulations and industry best practices. The person will interact heavily on a daily basis with all team members, including the Global Compliance team and Partners. As a fast growing, 250+ person company, we seek someone who is motivated, a self-starter, adaptable and comfortable working on a small team in a fast-paced, entrepreneurial environment.

The Compliance Associate will primarily be responsible for and will assist with the following:

  • Prepare annual and quarterly regulatory filings required by the SEC and NFA/ CFTC, e.g., Form ADV Part 1, Form ADV Part 2, Form 13F, Form PF, Form PQR, and Form PR
  • Establish and optimize data gathering and reporting processes for regulatory and internal use
  • Assist with monitoring and enforcement of US trade issue processes, e.g., ensuring potential issue reports are completed on time, clients are notified and compensated (as needed), lessons learned are properly documented and actions are implemented
  • Assist with preparation of annual compliance matters, e.g., annual review and annual training materials
  • Assist with the day-to-day compliance program to ensure all actions are completed within deadlines including but not limited to monitoring employee trades (using an online system), review of discretionary account trades, tracking of gifts, and political contributions
  • Assist in the U.S. client account opening and onboarding process including AML/KYC review
  • Assist with Pooled Vehicle regulatory requirements and testing (compliance with FINRA/ERISA rules, Reg D, etc)
  • Respond to compliance-related inquiries from team members
  • Review certain marketing materials, e.g., prospective client decks and the Firms external website
  • Conduct research on new and upcoming compliance rules as well as provide recommendations to relevant team members
Qualifications/Attributes
  • Bachelors Degree, concentrating in finance, accounting, economics, or legal studies is preferred but not essential
  • 1-2 years of experience in a compliance role or regulatory specialist role within the financial services industry (experience in a legal role, internal/external audit or consulting role will also be considered)
  • Undergraduate degree with a strong track record of academic achievement
  • High proficiency in Microsoft Office (Excel, PowerPoint, Word, Outlook); experience with VBA, Python, or other data science language is a plus
  • Excellent problem-solving and interpersonal skills
  • Strong ethical standards
  • Ability to thrive in a collaborative working environment
  • Intellectually curious and a team player who is willing to do whatever it takes to contribute to the success of the business

Partners Capital is committed to being a great place to work. We are focused both on wellbeing and professional growth. You can expect professional development and career progression opportunities, competitive compensation, exceptional benefits, and a flexible results-focused working model. Our benefits package includes medical, dental, and vision insurance, short and long-term disability insurance, life insurance, flexible spending accounts, commuter benefits, paid time off and a 401(k) plan with employer matching. The Firm also supports global philanthropy via a charity program and volunteer day. In addition, we champion a variety of wellness and social events

Hiring Manager: Nelda Kacyem, US Chief Compliance Officer

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