Compliance Associate

Greenwich, CT

Responsibilities

 

  • Support and assist the Chief Compliance Officer with managing the compliance function at an $8 billion registered investment advisory firm, including:
  • Maintaining, assessing and updating the firm’s compliance manual
  • Overseeing implementation and enforcement of firm policies
  • Maintaining the firm’s ongoing compliance log
  • Maintaining the firm’s restricted trading list
  • Coordinating with compliance consultants
  • Assisting in regulatory audits
  • Developing and coordinating compliance training programs for employees
  • Coordinating with IT on cybersecurity matters
  • Overseeing the firm’s KYC processes
  • Assisting with regulatory filings

 

 

 

Requirements

 

  • 2+ years of investment advisor regulatory compliance experience;
  • Knowledge of fund formation and related documentation (formation and offering)

 

 

 

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.

Date Posted 8/20/2018
Salary $65,000- $85,000 Base Plus Bonus and Excellent Benefits






(2MB Max; allowed file formats: doc, docx, pdf, pptx, txt)



characters left