Compliance associate

THE OPPORTUNITYUnder 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.• Maintaincorrespondencewithbrokersconcerningemployeeaccountsanddatafeedmaintenance.• Ensurethatallcompliancemattersareproperlyinvestigatedandthatappropriateactionistakenand documented.• Prepareandpresenttimely,accurateandobjectivereportstoseniormanagementasrequired.• Performotheradhocresponsibilitiesasassigned.• AssistonperiodicupdatestotheFirm’sComplianceManual,FormADVandotherregulatoryfilings.MINIMUM QUALIFICATIONS• BA / BSdegree• Preferably1-2yearsofcompliancerelatedexperiencewitharegisteredinvestmentadvisororregulator• Abilitytomeetdeadlinesandworkwellindependently• Strongorganizationalskillsandattentiontodetail• AbilitytocommunicatewithemployeesatalllevelsoftheorganizationLast updated : 2024-09-17