Compliance Reporting Associate

Greenwich, CT

Responsibilities

 

 

  • Manage and respond to compliance-related inquiries from clients and internal departments across the firm;
  • Facilitate the response to compliance-related client deliverables, including ongoing and ad hoc reporting materials;
  • Coordinate annual contract renewal questionnaires required by Section 15(c) of the Investment Company Act of 1940;
  • Review investor agreements to identify and coordinate scheduled compliance reporting,
  • Maintain reporting calendar and task manager for various reporting deliverables,
  • Provide quality assurance reviews of reporting materials for clients.

 

 

 

Qualifications

 

 

  • 2+ yrs asset manager, broker-dealer, or accounting firm
  • Project management and risk assessment skills
  • Knowledge of Investment Advisers Act of 1940, Investment Company Act of 1940, and ERISA a plus

 

 

 

Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion

 

#LI-NM1

Date Posted 6/4/2018
Salary $75,000- $105,000 + Bonus






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