Associate, Compliance

The Associate of Compliance will be primarily responsible for helping to manage the firm’s Code of Ethics and compliance training programs, including the policies and procedures relating to both the firm’s wealth management and private fund business activities. Primary responsibilities will initially involve monitoring the firm’s Code of Ethics and related surveillance and testing. Other responsibilities will evolve over time as business growth continues and will reflect the candidate’s level of experience. Responsibilities will generally include some or all of the following:

Approve employee activities relating to the firm’s Code of Ethics policies

Monitoring and surveillance of employee activities, including electronic communications

Assist with regulatory filings and maintain related procedures

Support the ongoing maintenance of the firm’s compliance risk assessment

Perform surveillance tasks to verify the firm’s compliance with policies and procedures

Manage audit and testing reviews, working with business units to resolve findings and remediation items

Provide compliance training and administer the firm’s compliance training program

Provide compliance oversight of the firm’s client and investor on-boarding activities

Manage compliance tasks relating to the firm’s Vendor Management, Information Security, Cybersecurity and Books and Records programs

Create and maintain reporting of Compliance activities provided to senior management, including remediation and exception reporting

Support strategic projects across business functions to ensure Compliance requirements are met

This role might be right for you if you:

Have 3 - 5 years of experience working in a compliance role at a financial service, and are familiar with both wealth management and private fund adviser

Have knowledge of the SEC’s Investment Advisers Act of 1940 (experience with and understanding of affiliated broker/dealer activities a plus)

Have experience supporting a compliance program for a private fund investment adviser

Have managed Code of Ethics policies and related monitoring and approval activities for an investment adviser

Experience with regulatory filings such as 13F, ADV and Form PF

Have experience developing processes and “operationalizing” compliance functions

Are willing to learn and leverage technology tools to help drive efficiency and progress

Are well-organized and pay attention to the details

Like to “roll up your sleeves” and get things done

Enjoy solving problems and finding creative solutions for our clients

Don’t get flustered easily

Can communicate effectively and build strong relationships with a broad range of stakeholders

Are discreet in handling sensitive and confidential information

Work well independently and as part of a team

Have a bachelor’s degree with 5+ years of professional work experience