Compliance Associate
Core
Support the Firm's compliance program across affiliated entities to ensure adherence to regulations, firm policies, and client obligations.
Role type
Compliance Associate
Builds
Compliance infrastructure and regulatory reporting
Domain
Financial Services / Investment Advisory
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure
Required skills
Regulatory framework knowledge (Investment Advisers Act, Investment Company Act, Securities Act), SEC/FINRA familiarity, risk assessment, forensic testing, due diligence screening, policy drafting, data pattern analysis, cybersecurity process understanding
Preferred skills
Cybersecurity system testing experience
Technologies
Form ADV, Form PF, Form CRS, state notice filings
Responsibilities
Monitor for regulatory and policy violations, administer Code of Ethics (trading, outside activities, gifts), review electronic communications, prepare regulatory filings, draft compliance policies, perform risk assessments and forensic testing, screen clients/vendors against watch lists, partner with tech teams to automate monitoring, review new products/marketing materials, prepare for regulatory examinations
Seniority
Mid-level, hands-on IC
