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Compliance Specialist
1 month ago
We are seeking a highly motivated and detail-oriented Compliance Associate to join our team at Research Affiliates. As a Compliance Associate, you will play a critical role in supporting our investment adviser compliance program and ensuring that our firm remains in compliance with all relevant regulatory requirements.
Key Responsibilities:- Assist the Chief Compliance Officer in managing the investment adviser compliance program, including implementing policies and procedures, delivering compliance trainings, and conducting surveillance and testing.
- Draft and maintain compliance-related documentation, including policies, procedures, and regulatory filings.
- Support client-facing teams with information requests and assist with diligence of key service providers.
- Review marketing materials and communications for compliance with regulatory requirements.
- Perform legal and regulatory research and assist with special projects as needed.
- Bachelor's Degree required.
- 3-5 years of relevant compliance-related work experience.
- Solid comprehension of the securities industry and regulatory requirements pertaining to SEC-registered investment advisers.
- Prior compliance experience with registered investment advisers, registered investment companies, and/or the SEC or FINRA.
- Strong attention to detail and excellent organizational and time management skills.
- Excellent communication and interpersonal skills.
- A flexible hybrid work model.
- Generous comprehensive insurance plans.
- Flexible time off.
- Education assistance and tuition reimbursement program.
- Company-sponsored social and recreational activities.
- Six-week sabbatical after 7 years of continuous employment.
Salary Range: $80,000 - $110,000 + eligible for a discretionary bonus. Base pay will be assessed taking into consideration such factors as location, qualifications, skills, and experience. Local candidates preferred but will consider all applicants.
