Associate, Compliance
Core
Manage the firm's Code of Ethics, compliance training, surveillance, regulatory filings, and risk assessments for wealth management and private fund businesses.
Role type
Associate Compliance Officer
Builds
Compliance programs and risk management frameworks
Domain
Financial Services / Wealth Management / Private Funds
Deliverable
dashboards & analysis
Required skills
SEC Investment Advisers Act knowledge, regulatory filing experience (13F, ADV, Form PF), Code of Ethics policy management, surveillance and monitoring, audit and testing review, compliance training administration, client onboarding oversight, vendor and cybersecurity program management
Preferred skills
Experience with affiliated broker/dealer activities, process operationalization, technology tool adoption
Technologies
Compliance management systems, surveillance tools, reporting platforms
Responsibilities
Monitor and approve employee activities against Code of Ethics policies; conduct surveillance of electronic communications; assist with regulatory filings; maintain compliance risk assessments; manage audit and testing reviews; provide compliance training; oversee client and investor onboarding; manage vendor, information security, and cybersecurity compliance tasks; create compliance activity reports for senior management.
Seniority
Mid-level, hands-on IC