Our client, an established investment management firm, is seeking a motivated Compliance Associate to join their growing team. This position will report to the Chief Compliance Officer.
Key Points
- Work for an established firm with a 20+ year track record of success
- Firm has had positive performance in 2021 and 2022 on top of their long standing track record
- Excellent quality of life, phenomenal benefits, and beautiful office with 2 work from home days/week
- Opportunity to work across a host of compliance matters in an elite team
Responsibilities
- Administer the Code of Ethics to all employees and assist in all aspects of the employee onboarding process
- Monitor all communications and ensure compliance
- Collaborate with the team developing and administering compliance testing
- Prepare for regular compliance reviews, exams and certifications; manage and submit regulatory filings
- Prepare for board meetings and other internal and external meetings
- Manage the firm’s 3rd party due diligence program as well as maintain the firm’s compliance manual and calendar
- Assist in or lead compliance projects as needed
Qualifications
- Bachelor’s degree and at least 4-6 years of relevant compliance experience, preferably at a buy-side firm
- Experience with a 3rd party vendor managements program
- 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 as well as work independently on a variety of projects
- Fully vaccinated for COVID-19