Our client, a successful investment advisory firm with over $12B in AUM, is looking to bring on a bright compliance professional with a desire to expand their knowledge within the space. This position will report to the Director of Compliance.
Key Points
- Great opportunity for someone young in their career to gain exposure to all areas of a compliance program
- Position sits on the trading floor and will have interaction with senior management
- Firm takes good care of their employees and has very low turnover
- This hire can take on more and more as they prove capable
- Firm offers a competitive compensation and benefits plan
Responsibilities
- Monitor and review client investment policies and guidelines
- Collaborate with the team developing and administering compliance testing
- Assist with client certifications
- Eventually, monitor communications and marketing materials to ensure compliance
- Attend conferences and other educational events to expand knowledge of regulatory compliance matters
- Complete other compliance related projects as needed
Qualifications
- Bachelor’s degree
- Previous compliance, audit or operations experience
- Desire to learn more about industry legal and compliance matters
- 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
- Ability to work independently on a variety of projects
- Dedicated, pro-active, problem-solving mindset
Compensation: $70-100k