Compliance Associate

Posted 01/07/2022 By Stephanie Callis

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

Want more information?

Complete the form below and Stephanie will follow up with you to discuss this position, or you can call her at 617-281-0203.

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