Compliance Associate
Our client a growing global investment firm is adding a Compliance Associate to their growing team!
Reporting to the Compliance Manager, the Compliance Associate will support the Firm’s global compliance program, with a particular emphasis on administrating the Firm’s policies and procedures related to:
1) the supervision of various employee-related activities, such as the Firm’s Code of Ethics, 2) marketing material reviews, limited partner communications, website reviews and reviewing other ad-hoc advertising materials, and 3) its anti-money laundering (“AML”) and know-your-customer (“KYC”) programs.
Job Skills and Abilities
- Understands the securities laws, rules and regulations applicable to registered investment advisers and private fund offerings, in particular the Investment Advisers Act of 1940
- Possesses the ability to set priorities in planning work and meeting strict deadlines
- Responds to variable workflow and maintains composure in a high-pressure environment
- Is self-motivated, with strong organizational and time management skills
- Possesses excellent written and oral communication skills
- Has personal experience presenting, interacting, and building effective relationships with professionals, including executive management, sometimes in difficult situations
- Understands the necessity to adequately document all work and is detail-oriented
- Can work both independently and as part of a team
- Is a collaborative and supportive team member
- Has enthusiasm for the mission of the company and for its diverse and inclusive culture
Responsibilities
- Review marketing materials, limited partner communications, website reviews and other ad-hoc advertising materials
- Oversight of employee activities, such as personal trading, gifts and entertainment, outside business activities, political contributions
- Monitor transaction and holdings reports conducted by employees
- Review gifts and entertainment, outside business activities, and political contributions requests and reports
- Perform political contribution testing using public databases
- Oversee employee certification processes, including review of exceptions and violations
- Notify employees when there are infractions and document their resolution
- Report infractions to Deputy Chief Compliance Officer and/or Chief Compliance Officer
- Assist with the performance and documenting money laundering, terrorist financing, and sanctions reviews of investors, and respond to AML inquiries from interested parties
- Assist with the development of targeted training content and the delivery of training to employees, including support of automated training tools
- Assist with other compliance program matters and projects
Education
Bachelor’s degree, preferably with a concentration in law, business, finance or accounting
Work Experience
Minimum 3-5 years of experience in compliance roles within an investment adviser organization