Reporting to the Chief Compliance Officer, the Compliance Coordinator will assist with the Firm’s global compliance team, with emphasis on coordinating compliance functions and global regulatory responsibilities related to the supervision of various employee-related activities such as periodic certifications, firm training, Anti-Money Laundering activities, and the administration of the Firm’s policies and procedures.
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.
Bachelor's degree, preferably with a concentration in business, finance, or accounting
Compliance experience at an SEC-registered investment advisorSubmit Resumé