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Senior Compliance Associate

1 month ago

Chicago, United States Larson Maddox Full time

A leading compliance consulting firm is looking to grow it's compliance team and is looking for you to join the firm as it's next Senior Compliance Associate This is an exciting opportunity to work with major players in the private equity, RIA, and venture capital space to enhance and mature their compliance framework. This opporutnity is operating on a fully remote basis. If what is below is in alignment with your background, apply into this Senior Compliance Associate role now

The Senior Compliance Associate will be responsible for:

  • Enforcing Compliance policies such as the Code of Ethics, employee certifications, regulatory filings (ADV), and document retention.
  • Monitoring personal and firm trading, maintaining restricted lists, managing various logs, conducting document review and upload, call monitoring, approving expert networks, and communicating regularly with third-party brokerage firms.
  • Assisting in the annual review and training of compliance policies, as well as conducting reviews of the compliance program and regulatory updates for Compliance Committee meetings.
  • Advise clients on SEC obligations including marketing review.
  • Coordinate the preparation and production of documents for clients SEC exams.

The Senior Compliance Associate should have the following qualifications:

  • 4+ years of experience working as a compliance consultant or working with an investment management firm.
  • Experience working with private funds.
  • Experience reviewing marketing materials for RIA's.
  • Bachelors degree.

This is a fast moving opportunity, so don't miss your chance to become our client's next Senior Compliance Associate