Compliance Risk Analyst
1 day ago
This role is an exciting opportunity to join Chilton Trust as a Compliance Associate in our Stamford, CT office. The ideal candidate will have at least three to four years of experience in the financial services industry and within a legal or compliance function.
About the RoleWe are seeking a highly motivated and detail-oriented individual to assist with ensuring that Chilton Trust remains compliant with rules and regulations set forth by various jurisdictions. This includes working closely with the General Counsel and Chief Compliance Officer to monitor compliance and ensure adherence to internal policies and procedures.
Key Responsibilities:- Assist with monitoring and reporting on regulatory filing obligations and preparing for and responding to inquiries from federal, state, or local governments or regulatory bodies.
- Develop and maintain compliance policies and procedures, including writing, reviewing, and testing.
- Administer personal trading procedures, including monitoring employee personal trading, reviewing brokerage statements, and pre-clearing personal trading transactions.
- Provide administrative support for the Firm's compliance program, including data gathering, file maintenance, internal and external correspondence, and other duties as necessary.
- Bachelor's Degree required.
- At least three to four years of work experience in the financial services industry and within a legal or compliance function.
- Knowledge of the Investment Advisers Act of 1940 beneficial, including understanding of the SEC's new marketing rules.
- Exceptional problem-solving skills, organizational skills, attention to urgency, and deadline-oriented.
- Clear and concise oral and written communication skills.
The salary range for this position is approximately $85,000 - $110,000 per year, plus eligibility for a performance-based bonus. Additionally, Chilton Trust offers a comprehensive benefits package, including group health, dental, life, and disability insurance, 401(k) match up to $4,500 per year, and 4 weeks of paid time off annually.
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