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Compliance Specialist
2 months ago
The Compliance Associate plays a vital role in maintaining the integrity of our compliance framework at Chandler Asset Management. This foundational position involves diligent monitoring of compliance measures, reviewing investment policies, coding investment restrictions, and bolstering the compliance team's efforts.
Key Responsibilities- Assist senior team members with compliance monitoring using Bloomberg AIM and identify and report basic compliance gaps.
- Support the review process of investment policies and report any inconsistencies.
- Aid in coding investment restrictions and report coding anomalies.
- Participate in both periodic and regular compliance reviews and prepare basic documentation.
- Support compliance reviews of client statements; internal and external follow-up on deficiencies.
- Support senior staff in risk assessment processes and document findings.
- Assist in drafting new policies, solicit feedback, and make necessary revisions.
- Help with regulatory filings and reporting, and document all regulatory activities.
- Assist in record retention oversight and familiarize with company record retention guidelines.
- Willingness to obtain FINRA Series 7 registrations within 12 months.
- Education: A Bachelor's degree in a relevant field is required.
- Industry Experience: 1-3 years of experience in a related field is necessary.
- Technical Proficiency: Expertise in Microsoft Office Suite and CRM applications required. Familiarity with Bloomberg AIM and SQL is preferred.
- Communication Skills: Exceptional written and verbal communication skills are essential.
- Research & Update: Must stay regularly updated on industry norms and practices.
- Medical, Dental, Vision, HSA & FSA
- Life & AD&D
- Short-Term & Long-Term Disability
- Accident & Critical Illness
- Employee Assistance Program
- Employee 401(k) Plan
- ESOP
- Employee Discounts
- Paid Time Off
- Paid Holidays
- Fun Company Events
