Compliance Associate

Our client, a prestigious investment management firm is seeking a Compliance Associate who is eager to learn and develop within their Legal and Compliance department.

Job Details

Client: Investment Management firm

Location: Stamford, CT

Position: Compliance Associate

Hours: 8:30am-5:30pm, 4 day a week in the office (Friday WFH)

Salary: $80k-$110k, plus Bonus eligible + Great benefits

Degree: Required

Responsibilities

• Work with and support the General Counsel and Chief Compliance Officer to ensure that the company and its affiliates (collectively, the “Firm”) remain in compliance with rules and regulations set forth by the jurisdictions in which the company, its investment funds and other client accounts, and its affiliates operate, including the SEC and the OCC in the U.S., state regulatory authorities, and FCA in the U.K.
• Assist the Firm and its UK subsidiary with adherence to internal policies and procedures.
• Assist with the Firm’s compliance monitoring program globally including performing day to day administrative tasks such as data gathering, file maintenance, internal and external correspondence and other compliance program administrative duties as may be necessary.
• Assist with writing, reviewing, and testing compliance policies and procedures.
• Administer personal trading procedures including monitoring employee personal trading, reviewing brokerage statements and pre-clearance of personal trading transactions.
• Assist in the Firm’s regulatory filing obligations and in preparation for and response to regulatory inquiries from federal, state or local governments or regulatory bodies.
• Generate and maintain various required records. Manage the Firm’s books and records archives.
• Attend and take minutes of Firm committee meetings, such as the Risk Committee, Compliance Committee and Board sub-committees
• .Assist with the Firm’s reporting to UCITS, ‘40 Act and OCC regulated clients

Requirements

• Bachelor’s Degree.
• Preferably at least three to four years of work experience in the financial services industry and within a legal or compliance function.
• Knowledge of the Investment Advisers Act of 1940 is beneficial, including an understanding of the SEC’s new marketing rules.
• Exceptional problem-solving skills, organizational skills, attention to urgency and detail, and deadline oriented.
• Clear and concise oral and written communication skills.
• Able to work successfully both independently and in a team environment.
• Energetic, dynamic, highly motivated, ethical & mature, with an understanding of the importance of confidentiality and discretion.
• Systems knowledge: Microsoft Office – especially Excel, PowerPoint and Word.
• The position is based in our Stamford, CT office and may occasional travel to other offices as needed.