The Compliance Associate reports to the Senior Compliance Manager and will assist with the Firm’s global compliance program, with an emphasis on regulatory filings; marketing material review; and administration of the Firm’s policies and procedures related to the supervision of various employee-related activities, such as periodic certifications, gifts and entertainment, outside business activities, and political contributions.
Additional skills required include:
- Understanding and practical application of Investment Advisers Act of 1940;
- Personal trading compliance system experience (such as ComplySci);
- Understanding of SEC Advertising Rules;
- Proficiency in the use of Microsoft Office, particularly Microsoft Excel.
BA/BS, preferably with a concentration in business, finance, or accounting
2-4 years' compliance experience at a SEC-registered investment adviserSubmit Resumé