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Compliance Associate

2 months ago

Boston, United States Cardea Group Full time

Compliance Associate (Boston, MA):

Our client, a forward-thinking hedge and venture capital fund with over $10B in AUM, is seeking a proactive and motivated individual to support the firm's compliance program in a newly created position. Reporting into the Chief Compliance Officer, this new hire will gain exposure and access to all members of the team and aspects of the compliance program.

Key Points: Newly created position in a fascinating company that values intellectual curiosity Excellent quality of life; hours are typically 8:30/9am – 5:30pm CCO has a clear plan for this person’s advancement within compliance Exposure to senior leadership at the firm Responsibilities: Lead new hire onboarding requirements monitoring and tracking Responsible for monitoring and auditing of employee trading activity Assist the CCO with the preparation of regulatory filings such as ADV, PF and 13F Review marketing materials to ensure compliance with rules and regulations Assist with cybersecurity initiatives, such as vendor due diligence and phishing tests Handle special projects, initiatives, and other ad-hoc activities to enhance the compliance program Maintain Compliance Science - the firm’s compliance monitoring and reporting system Qualifications: Bachelor’s degree required Familiar with the regulatory compliance matters for a buyside firm 2 – 4 years of experience with an investment adviser, compliance consultant, or investment funds group within a law firm Experience with Compliance Science is a plus Ability to effectively prioritize tasks, apply analytical and decision-making skills in a collaborative environment, produce consistently accurate work and meet deadlines

Job Reference #7278

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