Reporting to the Deputy Chief Compliance Officer, the Compliance Associate will assist with the Firm’s global compliance program with particular emphasis on administration of the Firm’s policies and procedures related to: (1) the supervision of various employee-related activities, such as personal trading (i.e., Code of Ethics compliance), gifts and entertainment, outside business activities, and political contributions; and (2) its anti-money laundering (AML) and know-your-customer (KYC) programs.
Additional skills should include proficiency in the use of Microsoft Office, particularly Microsoft Excel, an understanding and practical application of the Investment Advisers Act of 1940, and experience with personal trading compliance systems (such as Compliance Science/PTCC). Anti-money laundering compliance experience is a plus.
Bachelor's degree, preferably with a concentration in law, business, finance, or accounting
Minimum of 2 years compliance experience at a SEC-registered investment adviserSubmit Resumé