Job Overview – Compliance Associate (Hybrid):
Join our client in Montgomery County, MD, as a Compliance Associate. You’ll support the General Counsel & Chief Compliance Officer in managing the compliance program, ensuring regulatory adherence, overseeing cybersecurity, and preparing for SEC exams in this hybrid role.
Compensation: $125,000 – $150,000/year + bonus
Location: Montgomery County, MD
Schedule: Monday to Friday (Hybrid)
Responsibilities as the Compliance Associate:
- Program Management: Assist in managing the firm’s compliance program, supporting the Code of Ethics, and ensuring regulatory compliance.
- Calendar Management: Oversee and maintain the compliance calendar.
- Surveillance & Monitoring: Handle email surveillance, brokerage account review, and monitor gifts, entertainment, political contributions, and expenses.
- Communication Review: Conduct electronic communication reviews and compliance testing.
- Cybersecurity: Implement, oversee, and monitor cybersecurity compliance controls.
Qualifications for the Compliance Associate:
- Education: Bachelor’s in Finance, Law, or Business Administration (advanced degree or compliance certifications preferred).
- Experience: 2-5 years in Compliance, ideally with investment advisers, hedge funds, or private equity funds.
- Skills: Strong verbal and written communication skills, attention to detail, organizational skills, and a proactive approach.
- Technical Proficiency: Familiarity with Compliance systems and tools (ComplySci, Smarsh).
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.