Our client, a well-regarded investment advisor, is recruiting for a Senior Associate in their compliance department.
RESPONSIBILITIES OVERVIEW:
• Work with the General Counsel/Chief Compliance Officer and Deputy Chief Compliance Officer to maintain the firm’s compliance programs and certain legal-related matters.
• Responsible for maintaining compliance calendar and testing, follow up, and documentation of tests including, drafting memos, maintaining spreadsheets, and keeping calendar up-to-date, all in a timely manner.
• Responsible for many regulatory filings, including but not limited to TIC Forms (Federal Reserve); BEA filings; SEC Forms 13F and 13H; filings with Chinese securities regulator; participate in other regulatory filings, including Forms ADV and PF, and related duties; understand the requirements reflected by these filings.
• Work on custody issues and custody audit.
• Handle Code of Ethics-related tasks, including personal trading matters.
• Activities related to automated compliance systems, including obtaining and maintaining employee holdings reports, trade approvals, certifications; arranging and implementing new brokerage feeds.
• Handle new hire and terminated employee compliance requirements.
• Create and conduct compliance training including of new employees; explain company policies and requirements to others within the firm.
• Responsible for cybersecurity and information security from a compliance standpoint.
• Research and understand regulatory requirements, including complex requirements.
• Review documents such as brokerage forms, contracts, and other legal documents.
• Develop and prepare preliminary drafts of compliance policies and procedures.
• Work on monthly and other compliance work, reports, risk assessments and mitigation; assist in revising and updating Compliance Manual, Code of Ethics, and other documents; other compliance activities.
PREFERRED QUALIFICATIONS:
• Bachelor’s degree
• At least 5 years’ experience working in legal and/or compliance in the financial services industry, preferably with an SEC-registered investment adviser, private fund(s), or consulting firm.
• General working knowledge of relevant federal securities laws and associated rules (e.g., Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934).
• Superior skills with advanced Excel (e.g., formulas, macros, and user defined functions) and other Microsoft Office applications required. Other automation-related familiarity desirable.
• Strong quantitative skills.
• Must be able to work well with and coordinate with many people in departments across the firm.
• Extremely organized, detail oriented, with the ability to multi-task, effectively balance day to-day duties and project work, and meet deadlines.
• Demonstrated problem solving and analytical skills.
• Strong written and oral communication skills. Must be able to write short memos documenting compliance tests or events.
• The ability to handle pressure and work in a fast-paced, deadline driven environment.
• Flexible and willing to work overtime if needed.
Please send your resume to Catherine Ghent
RESPONSIBILITIES OVERVIEW:
• Work with the General Counsel/Chief Compliance Officer and Deputy Chief Compliance Officer to maintain the firm’s compliance programs and certain legal-related matters.
• Responsible for maintaining compliance calendar and testing, follow up, and documentation of tests including, drafting memos, maintaining spreadsheets, and keeping calendar up-to-date, all in a timely manner.
• Responsible for many regulatory filings, including but not limited to TIC Forms (Federal Reserve); BEA filings; SEC Forms 13F and 13H; filings with Chinese securities regulator; participate in other regulatory filings, including Forms ADV and PF, and related duties; understand the requirements reflected by these filings.
• Work on custody issues and custody audit.
• Handle Code of Ethics-related tasks, including personal trading matters.
• Activities related to automated compliance systems, including obtaining and maintaining employee holdings reports, trade approvals, certifications; arranging and implementing new brokerage feeds.
• Handle new hire and terminated employee compliance requirements.
• Create and conduct compliance training including of new employees; explain company policies and requirements to others within the firm.
• Responsible for cybersecurity and information security from a compliance standpoint.
• Research and understand regulatory requirements, including complex requirements.
• Review documents such as brokerage forms, contracts, and other legal documents.
• Develop and prepare preliminary drafts of compliance policies and procedures.
• Work on monthly and other compliance work, reports, risk assessments and mitigation; assist in revising and updating Compliance Manual, Code of Ethics, and other documents; other compliance activities.
PREFERRED QUALIFICATIONS:
• Bachelor’s degree
• At least 5 years’ experience working in legal and/or compliance in the financial services industry, preferably with an SEC-registered investment adviser, private fund(s), or consulting firm.
• General working knowledge of relevant federal securities laws and associated rules (e.g., Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934).
• Superior skills with advanced Excel (e.g., formulas, macros, and user defined functions) and other Microsoft Office applications required. Other automation-related familiarity desirable.
• Strong quantitative skills.
• Must be able to work well with and coordinate with many people in departments across the firm.
• Extremely organized, detail oriented, with the ability to multi-task, effectively balance day to-day duties and project work, and meet deadlines.
• Demonstrated problem solving and analytical skills.
• Strong written and oral communication skills. Must be able to write short memos documenting compliance tests or events.
• The ability to handle pressure and work in a fast-paced, deadline driven environment.
• Flexible and willing to work overtime if needed.
Please send your resume to Catherine Ghent
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