Compliance Associate

Key Responsibilities

• Advising clients on compliance matters, including oversight of personal trading, email review, monitoring of firm trading activity, and maintaining restricted lists.
• Preparation and filing of required regulatory filings, including Form ADV and Form 13's.
• Managing client registration with applicable regulators, including SEC and CFTC.
• Assisting with regulatory examinations of client compliance programs conducted by regulatory authorities, including SEC, NFA, and state regulators.
• Ensuring that compliance violation items are properly investigated, documented, and action completed, as per client policies and procedures.
• Analysis of regulatory environment updates and consideration of application for clients.
• Reviewing and advising on clients' marketing and advertising materials in line with the Advisers Act and other applicable regulatory requirements.
• Presenting/participating in compliance training for clients and their employees annually.
• Review of documents and data enabling analysis, critical and technical thinking, for appropriate, well-thought-out decisions.

Qualifications

• Eye for quality and accuracy of work product.
• High-level first-class communication with regulators, industry contacts, clients, and CFO team.
• Considerable use of tact, diplomacy, confidentiality, discretion, and judgment.