Compliance Associate
Job Responsibilities :
- Principal global corporate compliance administrator for the Code of Ethics and related policies, including Gifts & Entertainment, Political Contributions, Code of Conduct, and Whistleblower.
- Oversee the implementation, maintenance, and annual review of 10-15 compliance policies and procedures on an ongoing basis.
- Monitor for regulatory changes and implement revisions to internal policies and procedures as needed to ensure ongoing regulatory compliance.
- Oversee the in-person and online Compliance training program.
- Coordinate responses to requests from internal business partners.
- Support the production of Board reports and any other relevant materials.
- Support the efforts of the broader Compliance Team and provide additional tasks and duties as needed.
Qualifications :
- Qualified candidates should have 2-4 years of related experience in the financial services industry, preferably within the investment advisory business.
- Familiarity with Rule 204A-1 of the Investment Advisers Act of 1940 and Rule 17j-1 of the Investment Company Act of 1940 and related regulations (i.
e., Code of Ethics requirements).
- Self-starter with excellent communication and relationship skills.
- Strong writing, editing, and proofreading skills.
- Knowledge working with Microsoft products, including Teams and SharePoint Online.
- Comfortable learning new technologies.
- Demonstrated ability to prioritize work and manage multiple tasks to meet daily and periodic deadlines.
- Positive attitude, professional and mature.
- Comfortable working both independently and as part of a team.
Required Years of Experience :
2 years
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