Job Details
Our client is seeking a Compliance professional to join their Legal & Compliance team in providing the following support for their firm's regulated entities in the US and UK.
Responsibilities:
- Supervise firm's compliance monitoring technology platform & review Code of Ethics preapprovals.
- Support business with questions related to compliance with company policies.
- Administer & monitor quarterly attestations including outside business activities, gifts, and entertainment review, and political contributions.
- Play an active role in the maintenance, surveillance & enhancement of firm's compliance policies & procedures.
- Assist with overall organization & operation of the firm's compliance functions.
- Maintain compliance records.
- Liaise with the firm's marketing team & review marketing materials
- Coordinate completion & submission of regulatory filings, including Form ADV, Form PF, and others
- Perform regulatory analysis with respect to SEC rulemaking
- Assist with fund onboarding & investor AML/KYC
- Manage personal trade review compliance program
- Support overall functions of the Legal & Compliance Depart for the firm's investment adviser & broker-dealer.
Qualifications:
- 2-3 years of experience working in the compliance function at a fast-paced, sophisticated financial services firm.
- Bachelor's degree is mandatory. JD a plus.
- Highly organized & capable of prioritizing a diverse workload
- Excellent oral & written communication skills with ability to interact effectively & professionally across all levels from staff to senior management.
- Proficiency in Microsoft Word, PowerPoint, Outlook, and Excel