Compliance Associate

4 weeks ago


Denver, Colorado, United States Cerity Partners Full time
Job Details

At Cerity Partners, we are seeking a highly skilled Compliance Associate to join our team. The ideal candidate will have a strong understanding of the Investment Advisers Act of 1940 and related regulations, with broad knowledge of financial industry compliance programs, Global Investment Performance Standards (GIPS) and CFTC/NFA requirements.

Key Responsibilities
  • Collect information for and complete regulatory filings, including Form ADV, Form PF, and 13F and 13H filings, among others.
  • Oversee various surveillance, monitoring, and compliance controls, offering critical support to the Firm's investment management operations.
  • Conduct Anti-Money Laundering (AML) reviews of clients, managers and counterparties.
  • Review and approve marketing materials and client presentations to ensure they comply with SEC Marketing Rule standards.
  • Manage and update policies and procedures, monitor information barriers, and enforce the company's Code of Ethics policy.
  • Provide compliance-related guidance and support to financial advisors and business partners.
  • Investigate compliance issues as they arise. Escalate issues as appropriate.
  • Develop and deliver compliance training as needed.
  • Stay informed of applicable new or amended laws and regulations.
  • Assist with regulatory examinations, audits, and inquiries.

Requirements
  • Bachelor's degree.
  • 3+ years of experience in financial services, preferably at an SEC-registered investment adviser or at a regulatory agency.
  • Strong understanding of the Investment Advisers Act of 1940 and related regulations, with broad knowledge of financial industry compliance programs, Global Investment Performance Standards (GIPS) and CFTC/NFA requirements.
  • Experience working with alternative asset management and conducting due diligence is preferred.
  • Basic understanding of Private fund administration.
  • Strong attention to detail and ability to work independently.
  • Excellent communication and interpersonal skills.
  • Ability to thrive in a fast-paced, dynamic environment.

About Cerity Partners
Cerity Partners is a leading, national registered wealth management and institutional consulting firm serving high-net-worth individuals and their families, businesses and their employees, and nonprofit organizations from its offices across the country. Our in-house experts of attorneys, tax advisors, financial planners and investment professionals are passionate about and committed to providing objective financial advice and oversight.
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