Compliance Associate

2 months ago


Boston, United States Cambridge Associates LLC Full time

THE OPPORTUNITY

Under the guidance of the Chief Compliance Officer and Compliance Director, the Compliance Associate is responsible for the coordination, ongoing development and administration of employee reporting, web-based compliance training, and anti-money laundering (AML) and customer due-diligence programs. The Compliance AssociatewillalsoparticipateinthedevelopmentandimplementationoftheFirm’soverallcomplianceprogram and corporate reporting and maintenance program.

RESPONSIBILITIES

·Responsiblefornewemployeetrainingandreportingrequirements,servingasaresourceforemployees with compliance and ethics questions.

·Initiateandmanagequarterlyfirm-widecertificationsandassistemployeestoensuretimelycompletion.

·LeadCorporateActionsandworkwiththeLegaldepartmenttoensurethatalldeadlinesaremet.

·Reviewemployeedisclosuresandprovidequarterlyandannualreportstoseniormanagement.

·WorkwithotherdepartmentswithintheFirmonAMLissuesandclientduediligence.

·Assistemployeeswithdataentry,openingandclosingofaccounts,stocksplits,tradeconfirmation.

·Maintaincorrespondencewithbrokersconcerningemployeeaccountsanddatafeedmaintenance.

·Ensurethatallcompliancemattersareproperlyinvestigatedandthatappropriateactionistakenand documented.

·Prepareandpresenttimely,accurateandobjectivereportstoseniormanagementasrequired.

·Performotheradhocresponsibilitiesasassigned.

·AssistonperiodicupdatestotheFirm’sComplianceManual,FormADVandotherregulatoryfilings.

MINIMUM QUALIFICATIONS

·BA/BSdegree

·Preferably1-2yearsofcompliancerelatedexperiencewitharegisteredinvestmentadvisororregulator

·Abilitytomeetdeadlinesandworkwellindependently

·Strongorganizationalskillsandattentiontodetail

·Abilitytocommunicatewithemployeesatalllevelsoftheorganization


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