Core Compliance Associate

Key Responsibilities:

• Assist the Chief Compliance Officer in managing and effectuating the firm’s regulatory compliance calendar including forensic testing, market manipulation monitoring, the annual review and project-oriented work due to changing regulation and/or business initiatives.
• Working with the Core Compliance Team to maintain the integrity of the firm’s personal securities account electronic brokerage feeds including the timely reporting of new accounts, retirement of closed accounts and ensuring the firm’s brokerage feeds are feeding in a continuous manner. This individual will be a part of the Core Compliance Team’s rotation reviewing conflicts associated with political contributions, gifts and entertainment outside business activities and personal trading.
• Assist in reviewing the firm’s marketing and advertising materials, including those materials requiring FINRA Series 24 approvals. The firm’s marketing and advertising materials includes, but is not limited to, email communications with clients, marketing presentations, outlooks, strategy reviews, factsheets across a variety of vehicles (including registered and unregistered, private funds) and request for proposals and due diligence questionnaires.
• This individual will also assist with the firm’s annual compliance attestation processes and refine the firm’s compliance calendar as new regulatory obligations and corresponding testing arises.
• Perform surveillance and testing activities in areas that support the 206(4)-7 risk assessment and annual review process, including drafting reports and compiling data related to these areas.
•  Help apply special compliance considerations and monitoring to products that integrate ESG and Sustainable Investment processes.
• Provide primary support for the firm’s anti-money laundering and suspicious transaction monitoring and reporting including FinCEN reporting, client flows for suspicious activity and regulatory reporting on similar matters.
• Establish collaborative relationships with business partners, in order to best promote a culture of compliance.
• Work closely with other members of the Legal & Compliance Team to work through information barrier and restricted list issues regarding the receipt of sensitive information received from sources both internal and external to the firm.

Desired Profile:

• College degree (required).
• 2-6 years experience at a registered investment adviser, broker dealer, or compliance consulting firm.
• Candidate should be willing to obtain FINRA Series 7 and 24 registrations if they do not have them at time of hire.
• A strong understanding of marketing review experience at a large adviser or alternative adviser that offers some retail products as well as institutional services.
• Strong knowledge of regulatory requirements applicable to US investment advisers and broker-dealers, including the Investment Advisers Act and FINRA Rules.
• Excellent v$erbal and written communication skills.
• High motivation to take on compliance responsibilities across an asset management compliance program, with an ability to independently prioritize work to meet multiple tight deadlines while paying attention to detail in a fast-paced environment.
• Must have strong communication and Microsoft Office skills.

Compensation Range:$90k-$150k (approximately)

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