Compliance Associate
- Full-time
Company Description
Manages over $2 billion in Assets Under Management (AUM) specializing in a variety of investment strategies.
Job Description
Assist in updating, maintaining and testing the Policies and Procedures.
Oversee Code of Ethics Administration, including reviews of personal trading, gifts, etc.
Assist with reviewing marketing materials, including pitch books, GIPS® (Global Investment Performance Standards) footnotes, Fact Sheets and request for proposal (RFP) responses for appropriate disclosures.
Oversee client intake process, including review of documents and forms.
Maintain and review Compliance Calendar.
Assist with monitoring pre-and post-trade compliance with social and investment trading restrictions.
Ensure compliance with various state notice filing requirements and coordinate blue sky filing requirements with outside counsel.
Assist in annual proxy voting tasks.
Assist with preparing for regulatory examinations, internal examinations and drafting regulatory filings, such as Form ADV.
Ability to meet deadlines with careful attention to detail and straightforward communication are crucial.
Depending on the candidate's skills and the firm's needs, the employee may also be called upon to assist in other areas.
Compensation will depend on experience and qualifications.
Qualifications
Undergraduate degree, with 2-3 years of experience in Compliance roles within an Investment Adviser or other Asset Manager organization.
Must be able to work with colleagues from all parts of the firm, yet function independently.
Flexible attitude and strong computer skills, Excel and Word are essential.
Understanding of the environment at a small, entrepreneurial firm will be very helpful
Additional Information
Competitive salary and benefits package.
This is a full-time permanent position. In addition to salary, the position will offer benefits that are available to all Company employees.
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