Job Details
Location: Philadelphia (Hybrid)
Compensation: $100k-$130k base + bonus ($20k-$30k)
Job Overview:
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.
Responsibilities:
Monitor and test the Firm s policies and procedures to determine the adequacy and effectiveness of the compliance program
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
Ensure client monthly, quarterly, and annual compliance reporting requirements are fulfilled, including reporting to sub-advised registered investment companies
Review marketing material, investor/client communications, Requests for Proposals, and Due Diligence Questionnaires to ensure compliance with applicable laws and regulations
Assist the CCO in reviewing, maintaining, and updating the Firm s regulatory filings, including the Form ADV Parts 1 and 2, Section 13 filings, and Form PF
Assist with the development of compliance training program, including all new hire training, annual staff training, ad-hoc regulatory training and other continuing education programs
Qualifications:
3+ years of compliance related experience in an investment management firm preferred
Bachelor s degree in Legal, Finance, or Accounting
Exposure to public securities operations, including trading and settlement procedures preferred
Experience with review of advertising and market materials preferred
Thorough knowledge of the Investment Advisers Act of 1940 and the rules and regulations governing SEC registered investment advisers
Familiarity with private fund structures and ongoing registration obligations for advisers in the US
Other Qualifications:
Highly organized and client focused team player with demonstrated ability to work in an entrepreneurial environment
Strong interpersonal, verbal, and written communication skills
Ability to work within a team environment
Proactive and self-motivated with a strong work ethic
Ability to multi-task and prioritize across a range of projects, including the performance of both substantive and routine tasks
Experience Microsoft office suite and Advent (Moxy) or other order management systems preferred
We are an equal opportunity employer and value diversity at our firm. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status
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