Job Overview – Remote Compliance Associate:
Join our client's team as a Remote Compliance Associate. Reporting to the Chief Compliance Officer (CCO), you will work collaboratively to monitor, test, and improve the firm’s compliance program. In this remote role, you will play a key part in ensuring adherence to regulatory requirements, managing legal documents, and supporting various compliance initiatives.
Location: Remote (Occasional Travel)
Total Compensation: $125,000 – $150,000/year (All-In)
Schedule: Monday to Friday
Key Responsibilities as the Remote Compliance Associate:
- Code of Ethics Administration: Oversee personal securities trading, periodic attestations and certifications, gifts and entertainment, and related regulatory reporting obligations.
- Regulatory Filings: Assist the CCO in reviewing and updating regulatory filings, including Form ADV, Section 13 filings, and Form PF.
- Compliance Documentation: Draft memorandums concerning compliance-related matters with clearly documented rationales and conclusions.
- Legal Document Management: Manage legal documents, including confidentiality agreements, vendor contracts, and corporate records.
- Marketing Materials: Assemble marketing materials for distribution to potential clients.
- Chaperoning Calls: Assist the CCO in chaperoning calls with expert networks and public companies.
- Communication: Utilize strong verbal and written communication skills to convey information clearly and concisely to employees, vendors, and stakeholders.
- Regulatory Monitoring: Scan the regulatory horizon for new rules and regulations impacting the business.
Qualifications for the Remote Compliance Associate:
- Education: Bachelor’s degree in accounting, finance, economics, business, or other relevant major.
- Experience: 1-3 years of experience in a investment advisor compliance, hedge fund, PE, asset management, or compliance consulting role.
- Knowledge: Solid understanding of Rule 206(4)-7 under the Investment Advisers Act of 1940.
- Skills: Ability to analyze complex issues and perform routine tasks; acute attention to detail and exceptional organizational skills.
- Attributes: Excellent judgment, ability to escalate to management, strong interpersonal skills, and the ability to listen actively and speak with impact.
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.