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Compliance Associate
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$100,000 - $130,000 a year
Full-time
- The Compliance Associate is responsible for supporting the Chief Compliance Officer (“CCO) in the execution of the day-to-day compliance functions relating to the investment advisory businesses.
- Administer the Firm’s Code of Ethics, including oversight of all personal securities trading, periodic attestations and certifications and related staff regulatory reporting obligations
- Work closely with other departments, including IT, Operations, Legal, Investment Management, Trading, Marketing, and Investor Relations, to ensure Compliance with regulatory requirements, internal firm policies and procedures, and client-imposed guidelines
- Maintain Anti-Money Laundering and Know Your Customer procedures, including vendor due diligence, new advisory client and commingled fund investors, and ongoing client monitoring
- Review marketing material, investor/client communications, Requests for Proposals, and Due Diligence Questionnaires to ensure compliance with applicable laws and regulations
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