Opportunities

 

Compliance Consulting Firm

Senior Associate, Compliance, Remote

Senior Associate, Compliance (Remote): Our client, a reputable compliance consulting firm is looking to bring on a motivated compliance professional to join their growing team, fully remote. 

Key Points: 

  • Position offers exposure to all aspects of running a compliance program 
  • Opportunity for someone young in their career to join a growing firm 
  • Everyone isand will remain remote (opportunity to live and work anywhere in the country)  

Responsibilities:

  • Conduct compliance program testing and electronic communications reviews; review and provide insight to client marketing materials 
  • Provide support to consultants throughout client engagements (tracking and monitoring documents, preparing for meetings and conducting interviews); research and provide solutions to compliance issues 
  • Draft quarterly compliance updates for clients, document request lists and draft reports 
  • Prepare policies and procedures, memoranda and other client deliverables; assist in the preparation of regulatory filings (Form ADV, FormPF, Form 13H and13F) 

Qualifications:

  • 2 – 3 years of relevant compliance experience within a private fund advisor, regulator or similar financial services firm; bachelors degree is required
  • Strong knowledge of the Investment Advisers Act of 1940; exceptional attention to detail and sense of responsibility for successful project completion 
  • Superior time management skill with the ability to manage work schedule and maintain working hours from a remote office location is paramount; strong written and verbal communications skills 
  • Comfortable and willingness to take initiative, collaborate with a team, “roll up sleeves” mindset; excellent organizational, analytical, projectand process management 

Job Reference #1589

facebook twitter linkedin

Designed by Tradical360, an SEO Company in New York, NY