Compliance Operations Associate
Core
Implement and administer the investment advisory compliance program for an SEC-registered investment adviser and NFA commodity pool operator.
Role type
Compliance Operations Associate
Builds
Regulatory filings, compliance policies, and internal control procedures
Domain
Finance / Investment Management / Regulatory Compliance
Deliverable
client delivery
Required skills
Regulatory filing preparation, Code of Ethics system administration, compliance training coordination, supervisory committee support
Preferred skills
Prior compliance experience, investment management experience, paralegal experience
Technologies
Code of Ethics software system
Responsibilities
Prepare key regulatory filings (e.g., Forms 13H, 13F, CFTC/NFA filings), review critical reports for filing needs, administer employee compliance software and certifications, assist with compliance training, serve as secretary for supervisory committees
Seniority
Mid-level, hands-on IC