Senior Compliance Associate
5 days ago
Opportunity
Senior Compliance Associates work as an integral part of client teams together with Managing Directors, Senior Compliance Officers, Compliance Officers and Compliance Associates to deliver exceptional compliance services. Senior Compliance Associates must have an advanced understanding of the private fund industry and regulatory and compliance requirements for private fund managers. As part of a team of private fund compliance experts, Senior Compliance Associates the unique opportunity to continue to learn and develop expertise regarding the financial services industry and SEC compliance practices from veteran SEC and industry experts, mid-level seasoned compliance professionals and dedicated junior team members in an inviting and rewarding atmosphere. Standish Compliance is a fast-paced, high-energy firm where Senior Compliance Associates have opportunities to grow and advance within the firm as their knowledge, skills, experience, and enthusiasm permit.
Position Qualifications Summary
The Senior Compliance Associate candidate will be expected to:
- Serve as part of Standish Compliance client service teams and work together with others to help organize and deliver exceptional compliance services.
- Work closely with the Standish Compliance team to learn clients' businesses and compliance programs and ensure compliance with applicable regulatory and compliance requirements.
- Be proficient in creating and maintaining compliance calendars, checklists, logs, and reports, administering employee compliance reporting utilizing various Code of Ethics reporting systems, monitoring firms' compliance with policies, procedures, and regulations.
- Be skilled in preparing and reviewing applicable regulatory filings, including Form ADV, Form PF, Form D, Blue Sky Filings, Form 13F, Form 13H, and Form N-PX.
- Perform comprehensive electronic communication, social media, and political contribution reviews with minimal supervision.
- Participate in drafting, reviewing and presenting compliance manuals, annual review reports, compliance training and other guidance materials.
- Operationalize projects, such as firm migration onto new compliance reporting systems.
Ideal candidate would have experience administering a Code of Ethics system involving digital assets reporting, including wallets.
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