Compliance Associate

A⠀Compliance⠀Associate's⠀primary⠀role is to⠀assist the⠀Chief⠀Compliance⠀Officer⠀and team⠀with the⠀day-to-day⠀administration⠀and⠀oversight⠀of the⠀Firm’s⠀compliance⠀program⠀including⠀Code of⠀Ethics⠀monitoring⠀and⠀reporting,⠀monitoring,⠀and⠀testing of⠀all⠀policies⠀and⠀procedures.

While⠀the nature⠀of the⠀role is⠀continually⠀evolving⠀as the⠀regulatory⠀requirements⠀and risks⠀facing the⠀firm⠀change,⠀the⠀following⠀duties are⠀generally⠀representative⠀of the⠀nature and⠀level of⠀work⠀assigned⠀and are⠀not⠀necessarily⠀all⠀inclusive.

Primary Responsibilities:

• Conduct⠀risk⠀assessments⠀and⠀testing of⠀compliance⠀policies⠀and⠀procedures⠀pursuant⠀to the⠀Investment⠀Advisers⠀Act Rule⠀206(4)-7⠀and⠀cybersecurity.
• Review⠀trade data⠀from⠀multiple⠀front-end⠀trading⠀systems⠀and⠀perform⠀best⠀execution⠀and side⠀by side⠀analysis,
• Conduct⠀testing of⠀private⠀fund⠀transactions,⠀expense⠀allocations⠀and AML⠀reviews of⠀investors.
• Review⠀transactions,⠀products,⠀and⠀business⠀development⠀initiatives⠀to⠀identify⠀potential⠀risk and⠀advise on⠀compliance⠀mitigation.
• Perform⠀due⠀diligence⠀and⠀conduct⠀screening⠀on⠀transactions⠀against⠀all⠀applicable⠀restricted⠀lists.
• Administer⠀and assist⠀in the⠀development⠀and⠀maintenance⠀of⠀compliance⠀policies⠀and⠀procedures;⠀evaluate⠀regulatory⠀updates⠀for impact⠀on the⠀business⠀help⠀implement⠀policies⠀and⠀procedures⠀to address⠀relevant⠀changes.
• Stay⠀informed⠀of⠀applicable⠀new or⠀amended⠀laws and⠀regulations.
• Assist⠀with⠀regulatory⠀examinations,⠀audits,⠀and⠀inquiries.
• Lead⠀other⠀compliance⠀projects⠀as⠀requested.

Ideal Candidate Profile – “Our Casting Call!”

• 2-6 years⠀of⠀experience⠀with⠀Compliance⠀or Risk⠀Management⠀with⠀experience⠀in⠀regulated⠀financial⠀institutions⠀and⠀IT/operational⠀controls⠀is⠀required.
• Bachelor’s⠀degree is⠀required.
• IAACP⠀certification⠀is⠀preferred.
• Working⠀knowledge⠀and⠀understanding⠀of the⠀Investment⠀Advisers⠀Act of⠀1940,⠀Investment⠀Company⠀Act of⠀1940 and⠀Securities⠀Act of⠀1933 with⠀respect to⠀private⠀funds.
• Understanding⠀of⠀regulatory⠀requirements⠀for⠀Investment⠀Advisers⠀regarding⠀trading⠀and⠀allocation,⠀and⠀operational⠀books and⠀records⠀requirements.
• Knowledge⠀of and⠀experience⠀working⠀with⠀alternative⠀asset⠀management⠀and⠀conducting⠀due⠀diligence⠀is⠀preferred.⠀Basic⠀understanding⠀of Private⠀fund⠀administration.
• Experience⠀auditing⠀and⠀performing⠀risk⠀assessments⠀on cross⠀functional⠀processes.⠀Skilled in⠀evaluating⠀potential⠀business⠀impacts⠀and⠀developing⠀recommendations.
• Understanding⠀of⠀cybersecurity⠀functions⠀and⠀processes⠀and⠀experience⠀in testing⠀of systems⠀is a⠀plus.
• Ability⠀to work on⠀assignments⠀independently,⠀using a⠀high level⠀of⠀judgment⠀and take⠀initiative⠀in⠀resolving⠀problems.
• Detail-oriented,⠀organized,⠀highly⠀proficient⠀individual⠀to work in⠀a⠀fast-paced,⠀deadline⠀driven⠀environment,⠀and able⠀to solve⠀complex⠀problems⠀in a⠀collaborative⠀manner.
• Strong⠀ethical⠀commitment.
• Excellent⠀oral and⠀written⠀communication⠀skills.
• Limited⠀travel may⠀be⠀required.

Company Overview:

Our⠀mission is⠀to⠀positively⠀impact the⠀financial⠀well-being⠀of our⠀clients by⠀delivering⠀objective⠀financial⠀advice.⠀Our⠀culture⠀allows us⠀to deliver⠀this⠀mission.⠀We believe⠀in a⠀simple⠀formula⠀that⠀drives our⠀actions⠀and pushes⠀us every⠀day to do⠀better⠀than the⠀day⠀before:⠀People⠀First +⠀Accountability⠀= Winning⠀Outcomes.⠀We expect⠀our team⠀members to⠀deliver on⠀their⠀responsibilities,⠀understand⠀how every⠀component⠀of our⠀company⠀works to⠀generate⠀success,⠀and hold⠀themselves⠀and their⠀colleagues⠀accountable⠀to the⠀highest⠀standards.⠀As a⠀result, we⠀will enjoy⠀talking to⠀you if:

• You⠀understand⠀the need⠀to provide⠀a⠀world-class⠀customer⠀experience
• You⠀value the⠀collaboration⠀of⠀insightful,⠀experienced⠀colleagues⠀to deliver⠀our⠀services
• You⠀demonstrate⠀a strong⠀affinity⠀in⠀financial⠀services,⠀exceptional⠀communication,⠀organization,⠀and⠀prioritization⠀skills