Our client, a private investment advisory firm, is in search of a highly motivated Compliance Associate to join their expanding team. This recently established position is anticipated to collaborate closely with the Compliance Consultant, Finance, and Network teams.
Key Points:
- Impact position as the first hire under the GC/CCO whose background is not in regulatory compliance
- VERY FUN TEAM – they host monthly happy hours and are close knit, high performers
- Long runway for this person to take on more responsibilities and elevate in title
- Hiring manager is FANTASTIC – down to earth, smart, and he will give this person a ton of autonomy
Responsibilities:
- Responsible for the Planning and implementation of the new Private Funds Adviser Rule
- Preparation of regulatory filings (ADV, PF, etc.) and Cybersecurity compliance (Info Sec Policy, Incident Response Plan and testing, BCP plan and testing)
- Perform Annual Compliance Review: fulfill document requests; review and respond to findings; Annual review and updates to Policies & Procedures: Compliance Manual, Code of Ethics, Electronic Comms, Privacy Policy, Alternative Date, etc
- Perform Marketing Review: Continuous review and approval of each piece; disclaimers/disclosures; performance marketing compliance when applicable
- Conduct Email Review: Maintain Global Relay; conduct sample email reviews
- Complete Subscription Agreements and fulfilling KYC requests
Qualifications:
- Bachelor’s degree and 3-5 years of relevant compliance experience
- High attention to detail, strong organizational skills, and the ability to excel in a fast-paced work environment
- Ability to work and effectively communicate with a team
$130-175K base; $200-225K all-in (dependent on experience)