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This newly created position of Compliance Associate will join a seasoned legal & compliance team working in close coordination with our Chief Compliance Officer and other members of the team.


Role Responsibilities

  • Assisting with the development and implementation of the Firm’s policies and procedures
  • Surveillance of investments (including for insider trading, anti-money laundering and market manipulation)
  • Conducting surveillance of personnel activities (including for Code of Ethics, personal trading, registrations and licensing, and special supervisory issues)
  • Compliance monitoring, testing and reporting for FINRA and SEC annual review purposes
  • Managing relationships with external compliance resources
  • Employee training
  • Assisting with regulatory reporting and regulatory filings and related oversight
  • Other day-to-day compliance functions

Notably, the right candidate will have the opportunity to interact with the Firm’s Portfolio Managers and support the executive leadership team in connection with a wide variety of compliance, regulatory, and risk management issues.

Desired Prior Experience

  • A functional understanding of SEC and FINRA rules and regulations (including under the Investment Advisers Act of 1940 and the Securities & Exchange Act of 1934) and compliance techniques applicable to the supervision of individuals registered with a dually-registered investment advisor and broker/dealer, including any of the following:
    • Subject matter expertise in investment advisory firm compliance
    • Experience responding to regulatory inquiries and examinations by the SEC and/or FINRA and other regulators, and
    • Experience advising and interacting with Portfolio Managers and traders in an investment advisory firm setting
  • Anti-money laundering

Required Knowledge, Skills, and Ability

  • Bachelor’s degree required
  • Law or advanced degree not required, but “nice to have”
  • Minimum of 3-5 years of experience in financial services mandatory, experience in the wealth management space at a BD or an RIA a plus
  • Facility with compliance-related technologies and systems, and a willingness and ability to expand existing technology skills.
  • Good understanding of investment advisor and broker-dealer operational issues
  • Preference for candidates with compliance-related experience involving pooled investment vehicles and/or registered and/or private investment funds (e.g., hedge funds, private equity funds, mutual funds and ETFs)
  • Familiarity with regulatory and compliance issues relevant to financial technology
  • Preference for candidates with prior experience with a regulator (ideally SEC)
  • Excellent written and verbal communication and organizational skills
  • Candidate must exhibit a high-level of professionalism and sound judgment
  • Series 7, 24 desirable but not mandatory

Interpersonal Competencies and Success Factors

  • Ability to build trust, engender confidence and establish effective relationships with Director of Compliance, legal team, Portfolio Managers and senior management
  • Willingness and ability to adapt to rapidly evolving organizational, regulatory and technology landscapes
  • Excellent interpersonal skills and the ability to interact effectively at all levels of the organization
  • Strong business acumen and ability to understand and articulate the business and risk implications of various policy provisions, rules and regulations. Ability to communicate compliance positions and strategies concisely.
  • Consistently demonstrates a sense of urgency, responsiveness and commitment
  • Ability to prioritize and manage multiple projects and conflicting deadlines simultaneously
  • Gravitas, judgment and self-confidence but also respect for others, regardless of position
  • Demonstrates the highest levels of ethics, values and integrity

Compensation

Will be commensurate with candidate skills and experience. Compensation will consist of a competitive base salary and a discretionary annual bonus.

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