Compliance Associate

3 weeks ago

Charlotte, United States Larson Maddox Full time

Role Description

Investment Management firm seeking a Compliance associate to be an essential part of the Compliance team, actively involved in due diligence processes, ensuring compliance with SEC regulations, and upholding Code of Ethics. Reporting directly to the Chief Compliance Officer, you'll play a key role in supporting the compliance efforts of the firm.


Key Duties & Responsibilities

  • Assisting in enforcing Code of Ethics, which involves monitoring personal trading accounts, issuing certifications, and managing conflicts-of-interest.
  • Maintaining and updating compliance policies and procedures, ensuring they're current and effective.
  • Assisting with SEC and NFA filings and regulatory examinations to ensure compliance with regulatory requirements.
  • Monitoring and auditing business processes to identify potential compliance risks and take appropriate actions to mitigate them.
  • Supporting the enforcement and testing of compliance program to maintain effectiveness.
  • Researching and analyzing applicable laws, regulations, and industry best practices to ensure ongoing compliance.
  • Staying informed about SEC and NFA regulations, including changes and developments such as those related to ESG investing.
  • Educating and training employees on regulatory requirements, updates, and nuances relevant to their roles.
  • Assisting in conducting initial and ongoing operational due diligence (ODD) reviews of underlying investments with external private fund managers.
  • Reviewing marketing materials for compliance with SEC “Marketing” or “Advertising” Rules of the Investment Advisers Act.
  • Collaborating with compliance consultants and legal counsel when necessary.
  • Providing support on projects related to new regulations and the continuous improvement of the compliance program.
  • Completing ad hoc projects and other tasks as needed to support the Compliance team.


Required Skills & Abilities

  • Excellent attention to detail and organizational skills.
  • A continuous learning mindset to improve processes and stay ahead in a dynamic regulatory environment.
  • Strong verbal and written communication skills, with the ability to build effective connections within and across teams.
  • The ability to prioritize tasks quickly and work effectively under time constraints.
  • Sound judgment in decision-making.
  • Basic proficiency in the Microsoft Office suite.


Qualifications

  • Bachelor’s degree required.
  • 3+ years’ experience with an investment adviser compliance team, regulator, or compliance consultant.
  • Familiarity with the SEC’s Investment Advisers Act concerning private funds and a basic understanding of regulatory frameworks; NFA experience is advantageous.
  • Experience with private funds or registered fund operations is preferred.
  • Previous experience in compliance, external audit, internal audit, and/or operational due diligence is desirable.
  • Familiarity with alternative investment operations and controls is a plus.
  • An interest and/or understanding of complex investing concepts is preferred.

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