Compliance Associate

4 weeks ago


Austin, Texas, United States Fernridge Group Full time

Job Title: Compliance Associate

Firm: A leading global investment firm

Location: Austin, TX

Compensation Range: $130k - $150k base plus bonus

Firm is open to paying for relocation to Austin, TX

Job Overview: Fernridge Group, a renowned investment firm, is seeking a highly accountable and diligent Compliance Associate to support the firm's Core Compliance program. The successful candidate will be directly reporting to the Director of Compliance.

Key Responsibilities:

  • Maintain the Firm's internal compliance testing calendar and coordinate internal compliance testing initiatives with Compliance and other team members
  • Conduct ongoing internal testing to ensure effectiveness and identify areas to improve the firm's relevant policies and procedures
  • Support the Marketing team in the review and approval of public-facing marketing materials and social media activity
  • Support ongoing external reviews conducted in conjunction with external compliance consultants; attend and provide thoughtful contributions to associated interviews with various business partners
  • Support the Compliance Director with US regulatory filings (ADV, 13F, Form PF, CFTC)
  • Perform ongoing upkeep of the Firm's compliance risk and control matrix and regulatory readiness database
  • Coordinate ongoing Compliance Manual and related policy and procedure updates with the Compliance team and other stakeholders

Qualifications:

  • Bachelor's Degree
  • Minimum of 3 years of regulatory compliance experience at a registered investment adviser, regulator, or compliance consulting firm required
  • Working knowledge of compliance testing, US regulatory filings, SEC Rule 206(4)-7, and SEC marketing rules is highly desired
  • Ability to work in a fast-paced and dynamic environment with changing requirements
  • Strong organizational, analytical, written, and verbal communication skills
  • Excellent interpersonal skills and client service orientation

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